Accounting Career Consultants, ACC Construction, ACC Legal & HR Career Consultants ยท 5 days ago
Compliance Officer
St Louis, MO
Full-time
Onsite
Mid Level
$70K/yr - $85K/yrAccounting Career Consultants is a well-established financial services organization with a century of success. They are seeking a Compliance Officer to oversee the implementation of compliance programs, ensuring adherence to regulatory requirements and fostering a proactive compliance culture across teams.
ConsultingEmploymentHuman ResourcesStaffing Agency
Hiring Manager
Jason Bode
Responsibilities
Develop, update, and enforce compliance policies, procedures, and internal controls
Monitor sales, marketing, and client activities for adherence to regulations
Review communications, advertising, and social media for compliance accuracy
Interpret industry regulations and provide clear, actionable guidance
Support training and continuing education programs
Review money movement, AML, and exception-based monitoring reports
Prepare responses to regulatory inquiries and examinations
Provide compliance support and build a proactive compliance culture across teams
Qualification
Required
Active securities licenses Series 7 and 63/66 required; Series 4, 9, 10, or 24 to be obtained within six months
Strong knowledge of RIA and Broker-Dealer regulatory environments
Excellent communication and analytical skills
Ethical, detail-oriented, and able to manage confidential information
Preferred
Bachelor's degree preferred
Company
Accounting Career Consultants, ACC Construction, ACC Legal & HR Career Consultants
ACC Recruiters (Accounting Career Consultants) has been providing direct-hire, consulting, and temporary placement services since 1985.
Founded in 1985
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase