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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance program administration, regulatory examination support, and maintaining compliance records in accordance with SEC requirements. Proficient in compliance systems and capable of conducting thorough compliance reviews and training coordination.
Highest-signal resume keywords
Compliance Program AdministrationRegulatory Examination SupportSEC Recordkeeping RequirementsCompliance Systems ExperienceAnalytical Problem Solving
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance ReviewsForm ADV PreparationRegulatory ResearchAttention to DetailMicrosoft Office Suite Proficiency
Soft Skills
Organizational SkillsWritten CommunicationVerbal CommunicationTeam CollaborationConfidential Information Handling
Tools & Technologies
Red OakOrionCRD/FINRA GatewayEdgarSmarshHadriusGreenboard
Industry Keywords
Financial ServicesRIABroker-DealerSEC RegulationsState Investment Adviser Regulations
About the role
Key responsibilities & impact- Provide essential support to the Director of Compliance in administering the Firm’s compliance program
- Conduct routine compliance reviews and surveillance of advertising, email and other communications, trade activity, and client files
- Assist with preparation and filing of Form ADV, U4s, U5s, 13F, and 13H
- Support regulatory exams, field audits, and mock audits by gathering documents and coordinating responses
- Maintain compliance records in accordance with SEC recordkeeping requirements
- Monitor compliance software systems to identify issues and escalate as appropriate
- Maintain compliance policies and procedures, including version control and documentation of updates
- Track and coordinate compliance training, assist with training materials, and maintain attendance and acknowledgement records
- Research regulatory changes and industry updates and summarize findings for the Director and Chief Compliance Officer
- Respond to member firms’ compliance-related questions
- Participate in compliance-related projects and initiatives assigned by the Director of Compliance
- Report to the Director of Compliance
Requirements
What you’ll need- Bachelor’s degree preferred
- 2–5 years of compliance, operations, or regulatory experience in the financial services industry (RIA, broker-dealer, or related)
- Familiarity with SEC and state investment adviser regulations
- Experience with compliance systems such as Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh, Hadrius, and Greenboard preferred
- Strong organizational skills and meticulous attention to detail
- Ability to handle confidential information
- Excellent analytical, problem solving, and written and verbal communication skills
- Proficiency with Microsoft Office Suite
- Ability to learn adviser technology platforms
- Ability to manage multiple tasks and deadlines in a fast-paced environment
- Team-oriented and able to collaborate across different levels of the organization
- Subject to SEC restrictions on personal political contributions, personal securities transactions, and gifts & entertainment
- Remote work arrangement requires residing more than 45 miles from Lawrence, Kansas
Benefits
Comp & perks- Competitive compensation
- Health, dental and vision insurance
- Generous PTO
- 401k Plan
- Team events
- In-office, hybrid, and remote work arrangements depending on residence and agreement with the leader