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    Director of Compliance - Kansas City, United States - Larson Maddox

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    Description


    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)

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