UMB Bank Distribution Compliance Specialist I in Pierre, South Dakota
Be part of something more.
A majority of our time is spent “at work.” We believe that time most meaningful when it’s spent around people who care about you and who challenge you. We hire people who know how to make good decisions, because we won’t be constantly looking over your shoulder—you’ll be empowered to do what’s right for our customers. Most importantly, we’re a partner. We partner with our associates to help them thrive personally and professionally. We partner with our communities and the organizations that support them. And, we partner with our customers to create an experience they won’t find elsewhere.
Are you ready to be part of something more?
You’re more than a means to an end—a way to help us meet the bottom line. UMB isn’t comprised of workers, but of people who care about their work, one another and their community. Expect more than the status quo. At UMB, you can expect more heart . You’ll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust . We want you to do the right thing, no matter what. And, expect more opportunity . UMBers are known for having multiple careers here and having their voices heard.
UMB’s Distribution Services Compliance team supports our Fund Services clients by performing marketing review and compliance monitoring. This team is critical to our client’s success and provides a service to ensures all regulatory and firm requirements are met. In doing so it allows our clients to avoid potential risk and focus on growing their business.
The Distribution Compliance Specialist I role is the main point of contact for several clients and is responsible for reviewing client marketing communications, registered representative registrations, and compliance monitoring activities including email surveillance, branch examinations, and writing inspection reports. This role will work with clients on initial training and annual compliance meetings for registered reps and also takes part in evaluating compliance policy effectiveness on an ongoing basis, making recommendations as needed. As you grow your skill set at UMB, you will have the opportunity to support an increased number of clients and focus on more complex compliance tasks.
Working in the Distribution Services Compliance team can be impactful, challenging, collaborative, and independent. The team is spread out across the UMB footprint and therefore each specialist works independently to support individual client needs. However the team communicates regularly and focuses on a team culture of collaboration and partnership. There is always a partner ready to help. The Distribution Services team is also part of the overall Fund Services team and will interact regularly with other teams and departments.
How you’ll spend your time:
You will serve as the primary point of contact with clients for marketing communications compliance review and approval.
You will perform compliance monitoring activities including email and social media surveillance, branch examinations, and writing inspection reports.
You will operate various systems along with Web CRD to register reps, amend filings, and perform other processes related to client support.
We’re excited to talk with you if:
You have a Bachelor’s Degree
You have three (3) years of mutual fund or financial services related experience including 2 years in a compliance role or compliance related experience
You have your FINRA Series 6, 63, and 26 at time of hire or obtained within 90 days of hire
UMB Financial Corporation is an equal employment/affirmative action employer. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to email@example.com or call 816-860-7972 to let us know the nature of your request.
Who we are
We are more than a company. We are advisors, consultants, problem solvers, friends, community members, experts, and we are here to help you make the best of every moment with a financial foundation that can help you succeed.
- UMB Bank Jobs