Ethics & Compliance Training Manager jobs in Kansas

Ethics & Compliance Training Manager plans and manages the organization's ethics and compliance training programs. Conducts needs analyses and designs training and development programs. Being an Ethics & Compliance Training Manager interfaces with functional groups outside the ethics and compliance office to ensure curriculum content and methods meet legal, regulatory, and corporate objectives. Keeps abreast of pending regulatory developments, such as Sarbanes Oxley, through reference sources and interacts with appropriate members of management to obtain insight and ensure training programs meet legislative agendas, at both the Federal and State levels. Additionally, Ethics & Compliance Training Manager oversees the purchase of all training modules and interfaces with outside vendors and contractors. May require a bachelor's degree in area of specialty. Typically reports to a head of a unit/department. The Ethics & Compliance Training Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. To be an Ethics & Compliance Training Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. (Copyright 2024 Salary.com)

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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 to: Policy and Training Manager
    Location: Lenexa, KS/ Topeka, KS - Onsite
    Overview:
    Are you passionate about assisting others in their learning journey? Do you get energized by taking complex subjects and simplifying the messages to educate others? In an ever-changing regulatory environment, compliance can emerge as a defining factor for our clients (independent financial advisors). This is precisely why Advisors Excel is actively seeking the skills of a Compliance Training Analyst. In this position, you will work closely with our advisor offices to identify compliance training needs and develop programs, initiatives, and training materials to meet those needs. This role will be responsible for the creation, facilitation, and implementation of compliance training programs.
    What you'll do:
    • Create compliance training and communication techniques and strategies for our Registered Investment Advisers (RIAs), RIA staff, RIA Chief Compliance Officers (CCOs), Investment Adviser Representatives (IARs), and IAR staff
    • Support our CCO in the development of presentation content for webinars, live events, etc.
    • Create content for compliance training courses by collaborating with AE business partners and subject matter experts
    • Provide ongoing consultation and remote training for advisors and their staff
    • Address specific compliance areas with advisor offices through one-on-one training and coaching
    • Stay up to date on federal and state statutes/regulations pertaining to the securities industry
    • Manage the process to ensure all training is completed by required individuals
    • Take on projects related to compliance training and be accountable for completion with or without direct oversight
    Experience you'll bring:
    • 3-5 years' experience in training development and delivery
    • Experience using training development software such as Articulate
    • Experience writing training communications for large audiences
    • Presentation and communication skills: ability to deliver presentations and communicate at all levels within our organization or agent's office
    • Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
    • Ability to work independently, but also as a collaborative team member
    • Take a proactive approach to problem solving and aim for regular process improvement
    • Ability to handle confidential information
    Bonus Points:
    • Experience working in the financial industry (RIA or Broker Dealer)
    • Knowledge of FINRA, SEC, and various state rules/regulations
    • Securities industry experience in supervision, compliance and/or regulatory management
    • Series 7 examination preferred or interested in obtaining in the future
    What you'll get:
    • Amazing benefits including medical, dental, vision and 401k (with matching options)
    • Generous PTO package upon your start date
    • Access to an on-site cafe, gym and primary care
    • Continuous personal and professional development opportunities
    • Recognition for hard work & exemplary performance
    • Employee sponsored events...and more!
    Who We Are:
    Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!
    Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.
    #LI-MS1


    Apply for this Position

     

  • 1 Month Ago

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Compliance Manager
  • Launch Potato
  • Wichita, KS FULL_TIME
  • YOUR ROLE You will have the opportunity to make an immediate and significant impact on Launch Potato's FinanceBuzz business by managing compliance for some of our biggest partnerships and verticals. T...
  • Just Posted

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Compliance Manager
  • Harcros Chemicals Inc.
  • Kansas, KS FULL_TIME
  • Compliance Manager Summary Harcros Chemicals Inc. is an employee-owned company with a century in specialty chemical manufacturing and distribution. We currently have 2 manufacturing plants and 27 dist...
  • 2 Days Ago

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Compliance Manager
  • Koch Engineered Solutions
  • Wichita, KS FULL_TIME
  • Your Job Koch Engineered Solutions (KES) is seeking Compliance Manager that will support designated KES companies as a part of the Global Compliance Team at KES. The Compliance Manager is responsible ...
  • 9 Days Ago

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Compliance Manager
  • ProviDRs Care
  • Wichita, KS FULL_TIME
  • OVERVIEW: We are seeking an experienced Compliance Manager to ensure our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and ...
  • 12 Days Ago

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Compliance Manager
  • Celltron
  • Galena, KS FULL_TIME
  • Overview Incorporated in 1983 by four individuals to serve a regional market, Celltron has grown into an internationally known contract manufacturer of custom cable assemblies, wiring harnesses, and e...
  • 1 Month Ago

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Compliance Manager
  • Connected Careers Page
  • Phoenix, AZ
  • About Us Connected International, Inc. (Connected Cannabis Co.) is a leading vertically integrated cannabis company base...
  • 4/25/2024 12:00:00 AM

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Aircraft Conformity Manager
  • Joby Aviation
  • San Carlos, CA
  • Joby Overview Located in Northern California, the team at Joby Aviation is driven by our goal of creating an affordable,...
  • 4/23/2024 12:00:00 AM

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Private Funds Compliance Manager - Legal & Compliance, Life Sciences
  • Blackstone
  • Cambridge, MA
  • Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term va...
  • 4/22/2024 12:00:00 AM

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Manager Environ Compliance
  • Clean Harbors
  • Buttonwillow, CA
  • The Environmental Compliance Manager manages day to day regulatory functions at Clean Harbors and Safety-Kleen operating...
  • 4/1/2024 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Mc Lean, VA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Silver Spring, MD
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Arlington, VA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 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 Ethics & Compliance Training Manager jobs
$118,634 to $195,246

Ethics & Compliance Training Manager in Battle Creek, MI
Companies pay a heavy price for ethical and compliance breaches—and the frequency of these transgressions and the financial penalties seem to be increasing.
January 26, 2020
Ethics & Compliance Training Manager in Petaluma, CA
If you’ve ever worked in corporate America, it’s likely you’ve encountered a compliance training program like Inspired eLearning’s.
November 27, 2019
Ethics & Compliance Training Manager in Rock Hill, SC
This training aims to avoid any violations of your industry norms thus maintain a high quality final output and work environment.
December 27, 2019