Compliance manager Jobs in Olathe, KS

What You’ll Do

Essential job responsibilities include but are not limited to :

• Serves as the firm-wide resource for all RIA risk & compliance topicsDrives a culture of compliance across IMA Advisory Services, designing, implementing, and evolving systems and processes to identify and mitigate regulatory risksServes as named Chief Compliance Officer for regulated entities within IMA AdvisorsWorks closely with leadership of all RIA functions to ensure that systems and processes are designed with operational and compliance requirements in mindStarts from a solution-focused posture, focusing on how to achieve business results within legal and regulatory requirementsCarefully balances a partnerly, service-minded relationship with operational staff and an independent, risk-minded stance on behalf of firm leadershipTravels to existing IMA offices as required to build relationships and support teams, and extends / expands compliance infrastructure to new marketsSelects and manages 3rd party partners to enhance compliance capabilitiesProgresses role in conjunction with firm growth, and provides ongoing assessment of compliance resource requirements (., largely an individual contributor on day one, potentially evolving into team leader over time)Works collaboratively with IMA Advisors management to identify division-wide compliance opportunities and to support divisional growthTrainingWorks with 3rd party partners and RIA staff to assess and deliver training programs in multimedia formats, and develops and maintains training courses and contentOnboards new advisors and teams to IMA compliance programsIs primary resource for compliance questionsAnalysisConducts periodic analysis of client accounts to identify potential compliance issuesConducts departmental analysis of compliance program elements to identify problems and opportunities to improve efficiency and effectivenessResearches and recommends new compliance program features / upgrades and coordinates resulting implementationReporting – Client, Advisor and Department levelGenerates periodic and ad hoc compliance reports for RIA and IMA Advisors management, IMA finance, and general business decision supportAssists advisors with client-specific reports and requestsDrives business analytics on firm’s entire book of business to identify trends, concerns and opportunities

You Should Have :

Required Experience and Skills include but are not limited to :

Compensation & Benefits

Being a part of IMA has its benefits. When you become part of the IMA family, you become eligible to take part in our valuable benefits and rewards package designed to benefit you, your family, and your life. Our plans are cost-effective, convenient and provide progressive ways for staying healthy, protecting loved ones, pursuing financial security and living a full and balanced life. This role is eligible for the following :

Annual Performance Bonus, Stock Purchase, Medical Plans, Prescription Drugs, Dental, Vision, Family Assistance Program, FSA, HSA, Paid Parking Plan, 401(k), Life / AD&D, Accident, Critical Illness, Hospital Indemnity, Long Term Care, Short-term Disability, Long-term Disability, Business Travel Accident, Identity Theft, Paid Time Off, Flexible Work Options, Paid Holidays, Sabbatical, Gift Matching, Gym, Health Club Reimbursement, Personal and Professional Development. In addition to our robust benefits package, the hiring range for this position is $140,000 - $190,000 base salary. While this is the targeted range, final offer amounts will depend on a variety of factors, including the candidate’s geographic location, prior relevant experience, and their knowledge, skills, and abilities.

Why Join IMA?

We’ve built a reputation for putting our associates first

What if we told you that you could be an integral part of an entrepreneurial, expanding company, develop lasting relationships, earn competitive benefits, plus claim part ownership? It’s this unique ownership business model that makes working at IMA so appealing.

We work in teams. We sell in teams. We win and prosper as a team

We provide support systems and resources that enable each of our associates to focus on what they do best. And as an independent company based in the Midwest, we’re big enough to write business all over the world and small enough to implement your ideas quickly.

We are recognized nationally as a leader in our industry.