A lead Financial Services company based in Kansas City, MO is seeking a highly skilled and experienced Director of Compliance to oversee and manage the firm's compliance functions. The ideal candidate will be well-versed in Risk Assessments, Compliance testing, and have strong leadership experience.
Responsibilities:
- Assist with evaluating, maintaining, and managing the compliance program
- Evaluate and manage risk assessment methodology, annual assessment, and control-risk matrix
- Work with departments to modify and implement companies policies and procedures
- Monitor and ensure compliance with applicable banking laws, regulations and guidelines and stay up to date with changing regulations
- Establish monitoring processes or tools to asses compliance with internal policies and external regulations
- Serve as a resource and review marketing materials for compliance officers in RIA firms
- Lead ongoing compliance trainings to educate employees
- Maintain compliance with BSA/AML/OFAC-related laws and regulations
- Develop, implement, and monitor a strategic information security program
Qualifications:
- Bachelor's degree
- 5+ years of compliance experience within a trust and custody bank setting
- Certified Fiduciary and Investment Risk Specialist (CFIRS) or Certified Regulatory Compliance Manager (CRCM)