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Regulatory Learning and Development Specialist - Kansas City, United States - Larson Maddox
Description
Are you driven by the opportunity to guide others on their learning path? Do you thrive on simplifying intricate concepts to empower others with knowledge? In a dynamic regulatory landscape, compliance stands as a pivotal aspect for clients, particularly independent financial advisors.
A wealth management firm based in Kansas City is seeking someone adept at translating regulatory complexities into comprehensible training programs.
In this role, you'll collaborate closely with advisor offices, identifying their compliance training needs and crafting tailored programs and materials to address them.
Your responsibilities will span from conceptualization to execution, ensuring our clients stay abreast of compliance requirements.Your Responsibilities
Develop innovative compliance training methods and strategies catering to Registered Investment Advisers (RIAs), RIA staff, RIA Chief Compliance Officers (CCOs), Investment Adviser Representatives (IARs), and IAR staff.
Assist the CCO in curating engaging presentation content for webinars, live events, and other platforms.Collaborate with business partners and subject matter experts to create comprehensive compliance training content.
Offer ongoing guidance and remote training sessions for advisors and their teams.
Provide personalized coaching and training on specific compliance areas to advisor offices.
Stay updated on federal and state regulations pertinent to the securities industry.
Oversee the training process to ensure all mandatory training is completed.
Undertake compliance training projects and ensure their timely completion, with or without direct supervision.
Required Experience
3-5 years' experience in developing and delivering training programs.
Proficiency in using training development tools like Articulate.
Demonstrated ability in crafting training communications for diverse audiences.
Strong presentation and communication skills, enabling effective interaction across all organizational levels.
Exceptional organizational abilities to manage multiple tasks amidst shifting priorities.
Capability to work autonomously while also fostering a collaborative team environment.
Proactive problem-solving approach with a commitment to continuous process enhancement.
Discretion in handling confidential information.
Desirable Qualifications
Prior experience in the financial sector, preferably with RIAs or Broker Dealers.
Familiarity with FINRA, SEC, and various state regulations.
Background in securities industry supervision, compliance, or regulatory management.
Series 7 examination certification preferred or willingness to pursue in the future.
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