Chief Compliance Officer Job at Mid-American Wealth, Kansas City, MO

dzlBeUZHS09WQm9NVmxySmo5OTdnOGREYVE9PQ==
  • Mid-American Wealth
  • Kansas City, MO

Job Description

Chief Compliance Officer Job Description

Mid-American Wealth Advisory Group is seeking a motivated and detail-oriented Chief Compliance Officer to join our team. The CCO will play a key role in leading the organization's compliance function to ensure full adherence to regulatory requirements, industry standards, and internal policies. This role is central to identifying and mitigating risk, managing regulatory obligations, overseeing internal compliance procedures, and ensuring accurate documentation and reporting. The CCO will also oversee employee licensing and E&O insurance, while maintaining a strong culture of compliance across the organization.

Responsibilities

  • Regulatory Compliance: Ensure the organization maintains 100% compliance with all applicable laws, regulations, and standards. Monitor evolving regulatory requirements and implement necessary changes in policies and procedures.
  • Risk Management: Proactively identify compliance risks and implement mitigation strategies. Develop and maintain a comprehensive compliance risk management framework.
  • Audits & Risk Assessments: Conduct and oversee quarterly audits and bi-annual risk assessments. Analyze audit findings and implement corrective action plans as necessary.
  • Compliance Procedures: Develop, implement, and regularly update compliance-related policies and procedures.
  • Licensing & Insurance Oversight: Manage and verify all employee licensing requirements, ensuring a 100% compliance rate. Ensure errors and omissions (E&O) insurance requirements are fulfilled and maintained. Address licensing issues within 10 days of identification.
  • Reporting & Documentation: Adhere to all regulatory and compliance requirements in all client interactions and documentation. Ensure all reports meet internal and external deadlines with 100% accuracy and completeness.

Qualifications:

  • Bachelor’s degree in Law, Business, Finance, or related field and or minimum 5 years of compliance experience
  • Proven experience in regulatory compliance within financial services
  • Strong communication and leadership skills

Job Tags

Similar Jobs

The H&K Group

Laborer Job at The H&K Group

 ...reimbursement programs available to qualifying employees for approved programs ~ Additional training programs including on the job, online through H&K Academy, manufacturer offered training, and more Responsibilities Essential Duties and Responsibilities... 

Gansevoort Hotel Group

Executive Chef Job at Gansevoort Hotel Group

 ...Executive Chef New York, NY | $120,000 $130,000 + Bonus Potential About the Role We are seeking a dynamic, creative, and driven Executive Chef to lead our culinary program in one of New York Citys most exciting hospitality environments. This is an opportunity... 

BlackRock Resources LLC

Industrial Maintenance Technician Job at BlackRock Resources LLC

Pleasant Prairie, WI Direct Hire | 3rd Shift $32-$34/hour What Our Client Offers ~401(k) with company match ~ Generous paid time off and paid holidays ~ Tuition reimbursement and employee referral programs ~ Career advancement and professional growth opportunities...

New River Electrical Corporation

Safety Specialist Job at New River Electrical Corporation

 ...Ability to organize and prioritize multiple ongoing tasks while working independently. # Ability to work with diverse skill levels...  ...squatting, and lifting (up to 30 lbs). Equal Opportunity Employer AAP/EEO Statement It has been and will continue to be a fundamental... 

Orchard

Loan Officer Assistant Job at Orchard

 ...by Crain's, Inc. 5000, Glassdoor, Parity.org and Built In on their lists of best places to work. About the Role As aLoan Officer Assistant at Orchard, you will play a key role in helping our Loan Officers deliver a best-in-class mortgage experience to our customers...