Compliance Counsel

Location: Kansas City, MO (Crown Center District | Full-time In-Office)

The Numbers: 120K – 160K Base Comp (Commensurate with specialized regulatory, broker-dealer, or insurance depth; comprehensive enterprise benefits + employer-paid parking)

The Big Picture

Our client is an established, privately held financial services and insurance enterprise headquartered near Crown Center in Kansas City. Spanning specialized lines of business across insurance administration, broker-dealer investment services, affinity association programs, and employee benefits, the organization pairs seventy-plus years of multi-generational institutional stability with agile local decision-making. Backed by a collegiate, collaborative in-house legal and compliance division, the firm delivers cross-functional counsel directly supporting enterprise leadership across all operating brands.

The Mission

Serving as an embedded regulatory advisor, this role provides operational sovereignty and proactive guidance across multi-entity financial and insurance operations. Rather than functioning in an isolated corporate silo, you will operate as a core legal partner to business leaders, product developers, and executive teams navigating complex multi-jurisdictional frameworks. You will serve as the legal backbone safeguarding new program launches, monitoring statutory shifts, and translating regulatory complexity into commercially viable business operations.

The Daily Grind (The Good Kind)

• Regulatory Governance & Advisory: Deliver day-to-day legal and compliance counsel across broker-dealer, investment advisory, health, and specialty insurance entities, interpreting state and federal statutes to guide business decisions.
• Product & Program Expansion: Partner directly with operations and product leaders to vet novel association programs, life and annuity structures, and administration contracts prior to market deployment.
• Statutory Monitoring & Implementation: Track legislative, FINRA, SEC, and state insurance department regulatory developments, proactively translating statutory mandates into clear internal operating policies.
• Commercial & Operational Counsel: Draft, review, and negotiate critical business agreements, vendor arrangements, and cross-affiliate compliance structures while safeguarding corporate integrity across all operating subsidiaries.

Your Toolkit

• The Battle Scars: 5+ years of dedicated legal and compliance experience within financial services, broker-dealer/wealth management, insurance, or an adjacent highly regulated institutional sector.
• Technical Mastery: Strong working grasp of federal and state regulatory oversight bodies (SEC, FINRA, state insurance commissioners) and operational knowledge of regulated financial or risk products. Active Bar admission in good standing (Missouri or eligibility for reciprocal licensing).
• Detail Threshold: High comfort level balancing multi-entity priorities across distinct operating subsidiaries without sacrificing analytical rigor or regulatory precision.
• Communication Edge: Practical, solutions-oriented counsel that earns the trust of non-legal operational peers and executive stakeholders alike, avoiding legal bottlenecks while fiercely protecting the enterprise.

The Payoff

• Professional Autonomy: Direct access to organizational leadership within a lean, highly respected legal group where your legal opinions directly shape corporate initiatives.
• Culture & Trajectory: A grounded, long-tenured corporate culture that values stability, predictable professional rhythms, and internal career development. The top tier of this legal bench routinely provides succession runway for senior and general counsel leadership mandates.
• Competitive Package: Defined 120K – 160K base comp band with full organizational comfort across the entire range, comprehensive benefits, and employer-paid dedicated parking in a walkable urban campus adjacent to parks, dining, and transit.

Our Partnership Approach

Thank you for trusting Lupton Partners with your career transition. We take immense pride in our work, but our focus is always on the outcome—for both the candidates we represent and the companies we serve. If the first role we discuss isn't the perfect fit, we won't force it. Our goal is to land you in the right place, not just the next place. We also recognize that career changes—even the most exciting ones—come with a side of stress. That’s normal. We’re here to handle the heavy lifting and provide clarity at every step.

What to Expect

• The Introduction Call: This is a high-level chemistry check. We’ll dive into your history, map out your career goals, and get real about compensation and advancement targets.
• Active Searches: We’ll match your story to our clients' needs. We keep compensation targets front-and-center so nobody’s time is wasted.
• Client Submissions: It is our promise that we do not present your name or credentials to clients without clear communication and your explicit permission.
• Interview Feedback: This is where we earn our keep. Call us as soon as you hit the parking lot. If you think you fumbled a question or found a better answer ten minutes too late, let’s talk.
• Background Checks: Absolute transparency. We manage red flags together before they become "surprises."
• Offers: No surprises. We align on numbers early so the formal letter is a "green light" celebration.

Questions? Reach out anytime. Travis Lupton Office: 913-521-3303 | Mobile: 913-231-8472 travis@luptonpartners.com