Compliance Analyst (Banking) jobs in Kansas

Compliance Analyst (Banking) monitors customer accounts and researches transactions to identify suspicious activity violating current anti-money laundering (AML) regulations defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Uses customer data mining and software tools to identify suspicious activity patterns. Being a Compliance Analyst (Banking) reviews daily Currency Transaction Reports (CTR) and Questionable Activity Reports (QAR), and submits Suspicious Activity Reports (SAR) as appropriate. Ensures adherence to Know your Customer (KYC) protocols. Additionally, Compliance Analyst (Banking) may lead or participate in investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Keeps abreast with regulatory changes, risk management best practices, and trending methods used by fraud perpetrators. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide a well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a manager. The Compliance Analyst (Banking) work is closely managed. Works on projects/matters of limited complexity in a support role. To be a Compliance Analyst (Banking) typically requires 0-2 years of related experience. (Copyright 2024 Salary.com)

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Compliance Analyst
  • CreativeOne
  • Overland Park, KS FULL_TIME
  • Reports to: Chief Compliance Officer
    Department: Compliance
    Status: Full-time/Exempt


    Position Summary
    The Compliance Analyst will assist the Chief Compliance Officer (CCO) in keeping our registered investment
    advisory firm compliant with federal securities laws through establishing and enforcing controls, best practices,
    and ethical standards. This position will assist in implementing and coordinating the compliance functions
    throughout CreativeOne Wealth. The Compliance Analyst will use knowledge and skills obtained through
    education, specialized training and/or certification to assist the CCO in supervising a comprehensive compliance
    and oversight program designed to ensure compliance with all applicable regulatory requirements.

    Duties and Responsibilities include, but not limited to:

    • Supervision of IARs’ (Investor Adviser Representative) electronic communications, personal trading,
    investment recommendations, and other business activities.
    • Escalate and address potential policy violations with IARs as identified through supervision activities.
    • Lead planning, preparation, and execution of IAR branch exams.
    • Enhance and maintain the organizational and record-keeping processes that enable timely and accurate
    responses to regulatory inquiries and examinations as they arise.
    • Assist in the collection and analysis of data for regulatory reporting, disclosures, and inquiries.
    • Perform annual and quarterly testing and reviews in support of annual 206(4)-7 requirements.
    • Research and analyze relevant regulation, information, and resources to ensure firm policies and
    procedures as well as all applicable laws and regulations are followed.
    • Review and recommend updates to the firm’s compliance policies and procedures s, including the Code of
    Ethics, Compliance Manual, as well as providing mentoring and training for licensed professionals.
    • Serves as an internal liaison to address ad hoc compliance operational questions and issues

    Critical Skills Sought
    • Strong work ethic and hands-on approach.
    • Positive attitude.
    • Adaptability to a frequently evolving work environment.
    • Customer and business-centric and collaborative mindset.
    • Proven ability to communicate effectively at all levels of an organization.
    • Strong organizational skills and confirmed ability to set and meet deadlines in a high paced environment.
    • Advanced analytical skills, including demonstrated experience identifying and quantifying problems and
    providing effective solutions.
    • Excellent project-management skills, with creative techniques to coordinate across departments and

    functions.

    • Well-versed in the art of drafting procedures and evaluating internal controls.

    Our Core Values
    • Provide Unreasonably Excellent Service

    • Love What We Do
    • Act with Integrity
    • Collaborate Courageously
    • Evolve with Purpose


    Preferred Background/Experience

    • BA/BS or equivalent experience
    • FINRA licenses 65 or 7.
    • Minimum of 5 – 7 years' professional experience as a compliance professional at a broker-dealer,
    investment advisory firm, or state or federal securities office.
    • Deep knowledge of SEC regulations and the Investment Advisers Act of 1940; working knowledge of the
    Investment Company Act of 1940 a plus.
    • Familiarity with set up and administration of email surveillance tools, such as Smarsh, as well as
    cybersecurity and malware tools like Proofpoint.


    This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step
    account of the way each task is to be performed. Employees may receive other job-related instructions and be required to
    perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide
    reasonable accommodation to qualified individuals with disabilities.

    CreativeOne provides equal employment opportunities to all employees and applicants for employment and prohibits
    discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status,
    genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by
    federal, state or local laws.

  • 20 Days Ago

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Compliance Analyst
  • KS StateBank
  • Manhattan, KS FULL_TIME
  • Position Description: The Compliance Department acts as the internal quality control for the Bank, ensuring that employees follow all regulations and policies for the benefits of the Bank and its clie...
  • 8 Days Ago

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Compliance Analyst
  • Equity Bank
  • Wichita, KS FULL_TIME
  • Position: Compliance Analyst (on-site/not remote) Department: Audit & Compliance Location: Wichita, KS Status: FT Hourly Jump start your career at Equity Bank! We are currently hiring energetic, team ...
  • 9 Days Ago

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Regulatory Compliance Analyst
  • POET
  • Wichita, KS FULL_TIME
  • ABOUT POET At POET, it is our mission to be good stewards of the Earth by converting renewable resources to energy and other valuable goods as effectively as humanly possible. For over thirty years ou...
  • 20 Days Ago

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Compliance Training Analyst
  • Advisors Excel
  • Lenexa, KS FULL_TIME
  • Position: Compliance Training Analyst Location: 8801 Renner Avenue Lenexa, KS Job Id: 1929 # of Openings: 1 Position: Compliance Training Analyst Department: AE Wealth Management Compliance Reporting ...
  • 13 Days Ago

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Trade Compliance Analyst
  • Textron Aviation
  • Wichita, KS FULL_TIME
  • Trade Compliance Analyst322091 Textron Aviation has been inspiring the journey of flight for nine decades through the iconic and beloved Cessna and Beechcraft brands. We are passionate advocates of av...
  • 14 Days Ago

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Compliance Analyst
  • LevelUP HCS
  • New York, NY
  • In this role, you will support both the Sanctions and Monitoring & Investigations teams. You will be responsible for pol...
  • 3/28/2024 12:00:00 AM

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IT Compliance Analyst
  • Berkley
  • Scottsdale, AZ
  • Company Details: This role will reside within the Data Management and Analytics group of W.R. Berkley with a focus on th...
  • 3/28/2024 12:00:00 AM

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IT Compliance Analyst
  • The Judge Group
  • Smithfield, VA
  • A great job-and a great future-awaits you at Smithfield Foods. We're an $18 billion U.S. food company with nearly 60,000...
  • 3/28/2024 12:00:00 AM

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COMPLIANCE ANALYST
  • Bayview Asset Management
  • Miami, FL
  • Overview: Bayview Asset Management, LLC is a private fund manager focused on mortgage and consumer credit, including who...
  • 3/28/2024 12:00:00 AM

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Compliance Analyst
  • Isaiah House Inc
  • Harrodsburg, KY
  • Isaiah House is looking for a dedicated and driven person to take on the role of Compliance Analyst at our center in Har...
  • 3/28/2024 12:00:00 AM

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Tax Compliance Analyst
  • Erickson Senior Living
  • Baltimore, MD
  • Location: Erickson Senior Living Erickson Senior Living, headquartered in Baltimore, Maryland is a national provider of ...
  • 3/27/2024 12:00:00 AM

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Compliance Analyst I
  • Experis
  • Houston, TX
  • Our client, an American multinational chemical company is seeking a Compliance Analyst to join their team. Title: Trade ...
  • 3/27/2024 12:00:00 AM

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Compliance Analyst
  • The Intersect Group
  • Conduct regular assessments to ensure compliance with cybersecurity regulations, standards, and best practices. Interpre...
  • 3/27/2024 12:00:00 AM

Kansas /ˈkænzəs/ (listen) is a U.S. state in the Midwestern United States. Its capital is Topeka and its largest city is Wichita, with its most populated county being Johnson County. Kansas is bordered by Nebraska on the north; Missouri on the east; Oklahoma on the south; and Colorado on the west. Kansas is named after the Kansa Native American tribe, which inhabited the area. The tribe's name (natively kką:ze) is often said to mean "people of the (south) wind" although this was probably not the term's original meaning. For thousands of years, what is now Kansas was home to numerous and divers...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Analyst (Banking) jobs
$47,099 to $66,783