Title: Compliance Analyst
Department: Wealth Compliance
Reports to: Chief Compliance Officer
Status: Full-time, Exempt
Location: Overland Park, Kansas (onsite)
Pay: Starting at $85,000/year
Position Summary
The Compliance Analyst will assist the Chief Compliance Officer (CCO) in keeping our registered investment advisory firm compliant with federal securities laws through establishing and enforcing controls, best practices, and ethical standards. This position will assist in implementing and coordinating the compliance functions throughout CreativeOne Wealth. The Compliance Analyst will use knowledge and skills obtained through education, specialized training and/or certification to assist the CCO in supervising a comprehensive compliance and oversight program designed to ensure compliance with all applicable regulatory requirements.
Duties and Responsibilities include, but not limited to:
Critical Skills Sought
Our Core Values
Preferred Background/Experience
This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities. CreativeOne provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.
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