Compliance Specialist - Financial Services

UMB Financial Services Inc (UMBFSI) is the broker dealer/investment advisor affiliate of UMB that is governed by FINRA and the SEC. Within UMBFSI we serve retail customers as well as institutional customers and municipalities with services such as discount and full-service Brokerage accounts, Qualified Retirement Plans, Retirement Plan Consulting Services, college planning and retirement planning among many others.

 As a Compliance Specialist, you will work with a dedicated compliance team to implement UMBFSI’s compliance program.

How you’ll spend your time:   

• You will oversee electronic communications, social media, correspondence, branch office exams, marketing and advertising.
• You will monitor and review regulatory developments that may affect the firm, including those from FINRA, SEC, MSRB and other regulatory organizations.
• You will prepare regulatory filings and respond to regulatory inquiries.
• You will provide guidance on regulatory implications associated with new or proposed rules and new UMBFSI products or services while working closely with UMBFSI associates and other UMB departments to further ensure compliance with applicable rules and regulations, including corporate risk, legal, human resources and internal audit.
• You will assist with identifying educational and training needs and developing training curriculum, and provide training during the annual compliance meeting, monthly roundtable calls, new hire orientations, and at other times, as needed.
• Other compliance duties as assigned.

We’re excited to talk with you if:  

• You possess a bachelor’s degree or equivalent education and experience

• You have five (5) years of relevant experience 

• You possess the FINRA Series 7 

Bonus Points if you:

• Possess the FINRA Series 24 (or a willingness to attain within 90 days of hire)
• Possess the FINRA Series 52, 53, 66 (or 63 and 65).
• You have seven (7) years of compliance experience in the securities industry.
• Advanced Degree (MBA, JD)
• State insurance licensing in fixed and variable insurance products for all States where UMB Insurance is admitted.

Compensation Range:

The posted compensation range on this listing represents UMB’s good faith and reasonable estimate based on its budget and what it expects to be the starting pay for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. Please see the description of benefits included with this job posting for additional information.

UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.

Are you ready to be part of something more?
You're more than a means to an end—a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.

UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to [email protected] to let us know the nature of your request.

If you are a California resident, please visit our Privacy Notice for California Job Candidates to understand how we collect and use your personal information when you apply for employment with UMB.