Distribution Compliance Specialist II

Profile

:,ActualValueFromSolar:null},{QuestionName:What Youu0027ll Do,AnswerValue:- Accurately analyzes marketing communications for compliance with regulatory and firm requirements and, where appropriate, files with FINRA in a timely manner.u003cbr/u003e- Serves as primary point of contact with clients for marketing communications compliance review and approval.u003cbr/u003e- Evaluates compliance policy effectiveness and updates procedures and manuals as needed.u003cbr/u003e- Trains new associates on internal compliance processes and procedures.u003cbr/u003e- Contributes to the development and delivery of registered representativeu0027s initial training and annual compliance meeting. u003cbr/u003e- Performs monitoring activities including email surveillance, conducts branch examinations, writes inspection reports, and maintains appropriate compliance records.u003cbr/u003e- Partners with internal departments to make sure client needs are met.u003cbr/u003e- Maintains effective internal and external client relationships.u003cbr/u003e- Actively participates with team in planning, operations and strategy implementation.u003cbr/u003e- Ability to maintain confidentiality when handling sensitive information.u003cbr/u003e- Other duties as assigned.,VerityZone:jobdescription,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Requisition Number,AnswerValue:11911BR,VerityZone:autoreq,QuestionType:text,ActualValueFromSolar:null},{QuestionName:At UMB,AnswerValue:We strive to deliver u003ciu003etheu003c/iu003e unparalleled customer experience, and show customers they can count on more from UMB. The same is true for our associates. You can count on more benefits, more training, more support, and more opportunity! u003cbru003eu003cbru003eWhat youu0027ll get: u003cbru003eu003cbu003eUnique Benefit Programs : u003c/bu003e We offer a great benefits package including several unique programs like an incentive-based wellness program, parental leave, adoption assistance and health care for you, your spouse or domestic partner, your dependents and even your pets!!u003cbru003eu003cbu003eProfessional Development: u003c/bu003eWe provide our associates with the tools they need to support their career goals - including training, tuition reimbursement and career guidance.u003cbru003eu003cbu003eCommunity Involvement:u003c/bu003e Giving back is a big part of who we are! We support several great causes throughout the UMB footprint. We even offer Volunteer Time Off, which allows associates to dedicate 16 hours a year to a worthy cause of their choice.u003cbru003eu003cbu003eCulture of Diversity and Inclusion: u003c/bu003eWe are committed to building a strong UMB by hiring talented, high-performing associates with diverse backgrounds. Maybe you simply want to work at a company where you have a voice and an opportunity to share your unique ideas. u003cbru003eu003cbru003ePlease visit us at u003ca href=****target=_blank\u003ecareers.umb.comu003c/au003e to view a list of all available opportunities. UMB is an Equal Opportunity Employer. Principals only. No 3rd parties or agencies, please.,VerityZone:formtext38,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Work Schedule,AnswerValue:Monday-Friday: 8:00am-5:00pm,VerityZone:formtext12,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Division Name,AnswerValue:Institutional Banking ,VerityZone:formtext8,QuestionType:single-select,ActualValueFromSolar:null},{QuestionName:City,AnswerValue:Denver,VerityZone:formtext13,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Preferred Requirements,AnswerValue:- Bacheloru0027s degree in business, finance, accounting, economics or related fieldu003cbru003e- FINRA Series 7 and 24,VerityZone:formtext34,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Job Title,AnswerValue:Distribution Compliance Specialist II,VerityZone:formtext29,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Address,AnswerValue:1670 Broadway,VerityZone:formtext31,QuestionType:text,ActualValueFromSolar:null},{QuestionName:Shift,AnswerValue:Full Time ,VerityZone:formtext5,QuestionType:single-select,ActualValueFromSolar:null},{QuestionName:State,AnswerValue:CO,VerityZone:formtext28,QuestionType:text,ActualValueFromSolar:null},{QuestionName:In this Role, You will Need,AnswerValue:- Ability to pro-actively build and maintain relationships with internal and external partnersu003cbru003e- Strong, professional verbal and written communication skills u003cbru003e- Solid organizational, planning and problem solving skillsu003cbru003e- Demonstrated attention to detail and accuracy u003cbru003e- Analytical and decision-making skillsu003cbru003e- Computer skills including Microsoft Office Suite, Adobe Acrobat, internet research and navigation, email review systems, FINRA forms and filings, marketing materials review workflow systems, compliance monitoring systemsu003cbru003e- Demonstrates working knowledge of financial terminology, basic economic concepts, product concepts u003cbru003e- Effective handling of compliance concepts, client requests, concerns and problems in a professional manneru003cbru003e- Proficient knowledge of applicable rules and regulations (SEC, FINRA, state laws, etc.) used in registered representative oversight, email and advertising review,VerityZone:formtext33,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Who You Are,AnswerValue:- Bacheloru0027s Degree u003cbru003e- FINRA Series 26, 6, and 63 at the time of hireu003cbru003e- FINRA Series 7 and 24 obtained within 6 months of hireu003cbru003e- Five (5) years of registered investment company or financial services related experience u003cbru003e- Two (2) years of experience as a registered principal in the following areas:u003cbru003e -Email surveillanceu003cbru003e -Marketing materials review u003cbru003e -Maintaining a registered representative compliance supervision program,VerityZone:formtext44,QuestionType:textarea,ActualValueFromSolar:null},{QuestionName:Additional Location(s),AnswerValue:Kansas City MO, Milwaukee WI, Ogden UT, Chadds Ford PA,VerityZone:formtext73,QuestionType:text,ActualValueFromSolar:null}],GQId:1761,isGQResponsive:true,isActive:true,isSocialReferralJobRestricted:false,localeId:1033,AutoOptionalReqId:11911BR,Title:Distrib Compliance Spec II,JobSiteId:5319,Link:****{Responsive_AdvancedCSS: /*#N#GUIDELINES#N##N#• Enter CSS here.#N##N#• Please take care not to compromise accessibility including color contrast.#N##N#• Please test all window widths so that all responsive break-points remain in tact.#N##N#• Please refer to attributes of the body tag to limit the scope of your rules to a single workflow, or else be sure to check each individual workflow.#N#*/#N##N#input[type=text],input[type=password] { #N#background-color: #ffffff; 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