Lupton Partners Job Posting: Senior Compliance Officer

Compensation: $120,000 - $150,000 base salary, depending on experience.

Overview

Lupton Partners is recruiting for the position of Senior 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 strong focus on market conduct and suitability. The ideal candidate will have extensive experience in compliance within the financial services sector, ensuring adherence to regulatory requirements without necessitating a legal background.

This position offers an exciting opportunity to build a robust compliance program and support the organization in navigating regulatory landscapes. The role will help cover the responsibilities of a retiring senior compliance officer while enhancing overall compliance coverage.

Key Responsibilities

• Regulatory Oversight: Ensure compliance with all applicable FINRA, SEC, and state insurance regulations, focusing on market conduct and suitability.
• Market Conduct & Suitability: Lead compliance initiatives related to sales practices, ensuring policies and procedures align with regulatory expectations and company standards.
• Compliance Leadership: Support the Chief Compliance Officer in developing and executing compliance strategies, policies, and risk management initiatives.
• Regulatory Examinations & Audits: Oversee responses to regulatory inquiries, examinations, and audits from FINRA, state insurance regulators, and other governing bodies.
• Policy Development & Implementation: Draft, revise, and implement compliance policies and procedures to foster a strong culture of regulatory adherence.
• Training & Education: Provide compliance training and guidance to internal teams, including sales, operations, and executive leadership, ensuring company-wide adherence to regulatory requirements.
• Collaboration: Work cross-functionally with risk and business teams to align compliance initiatives with overall company strategy.

Qualifications

• Experience: 7+ years of regulatory compliance experience within financial services, particularly in broker-dealer and insurance industries.
• Regulatory Knowledge: Strong understanding of FINRA, SEC, and state insurance regulatory frameworks, especially in market conduct and suitability.
• Leadership Skills: Proven ability to manage compliance initiatives and work collaboratively with internal and external stakeholders.
• Communication & Training: Strong ability to translate complex regulations into actionable policies and training programs.
• Flexibility: Open to hybrid and remote work arrangements, with a preference for candidates in or near Kansas City.

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.