Lupton Partners Job Posting: Senior Compliance Officer / Deputy Chief Compliance Officer
Compensation:
Overview
Lupton Partners is recruiting for the position of Senior Compliance Officer / Deputy Chief Compliance Officer on behalf of our client, a well-established, Kansas City-based organization operating nationwide. This role is responsible for overseeing regulatory compliance across both insurance and broker-dealer operations, with a focus on market conduct and suitability. The ideal candidate will have extensive experience in compliance within financial services, including interactions with FINRA and insurance regulators.
This position offers flexibility in background, as both legal attorney candidates and compliance only will be considered. This move is in part to cover a retiring senior legal officer as well as expand their compliance coverage. Candidates with both compliance and legal expertise will be considered at the higher end of the compensation range, but candidates without a legal background can be supported with a more junior legal hire. A prior legal background does not require and active bar standing.
Key Responsibilities
Qualifications
Our Talent Vision
Lupton Partners' recruiting and talent optimization practice operates intentionally with two purposes centered around the people side of the business equation. For talent, we recognize that making a career move is both exciting and stressful, guiding individuals to find higher meaning and reward in their careers. For clients, we understand that the talent equation involves aligning business and people strategies, retaining and empowering talent, and attracting the best available candidates. We specialize in various sectors, including banking and financial services, legal and counsel, finance and accounting, and executive recruiting, while also focusing on talent optimization to align people with business strategies, boost productivity, and adapt to change.
Our Talent Vision
Lupton Partners' recruiting and talent optimization practice operates intentionally with two purposes centered around the people side of the business equation. For talent, we recognize that making a career move is both exciting and stressful, guiding individuals to find higher meaning and reward in their careers. For clients, we understand that the talent equation involves aligning business and people strategies, retaining and empowering talent, and attracting the best available candidates. We specialize in various sectors, including banking and financial services, legal and counsel, finance and accounting, and executive recruiting, while also focusing on talent optimization to align people with business strategies, boost productivity, and adapt to change.