Compliance Associate | Wealth Advisory

Multiple Locations: Springfield, MO, USA • Kansas City, MO, USA • Charlotte, NC, USA

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Company Profile:

At FORVIS, your career is designed with a purpose. We want our team members to thrive professionally and feel the impact their work yields when serving clients, industries, and local communities. This starts by empowering team members to design a career journey that leverages their skills and fuels their passions.

Creating a best-in-class employee experience is at the heart of our vision for the future. With several industry focus areas, multiple service lines, and locations in five geographical regions across the country to choose from, the opportunities for your career are without limit.

About FORVIS

FORVIS is a Top-10 professional services firm providing assurance, tax, and advisory services, driven by our commitment to using our forward vision to provide rewarding career opportunities and deliver unmatched client experiences. Learn more at FORVIS.com

Design your career with purpose at FORVIS. For more information about our firm locations, visit FORVIS.com. FORVIS, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, or other protected classifications.

It is FORVIS's standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.

• FORVIS expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
• FORVIS further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with FORVIS.
• Any resume or CV submitted to any employee of FORVIS without having a FORVIS vendor agreement in place will be considered the property of FORVIS.

Requisition Number: 2226346

Position Title:

External Description: Description & Requirements

The Compliance Associate works closely with the Chief Compliance Officer and Compliance Manager in researching, recommending, and participating in projects primarily tied to the administration of FORVIS Wealth Advisors' compliance program. The primary function of the Compliance Associate is to perform compliance monitoring, marketing review, data analysis, updating of written procedures, and collection and retention of records. This position requires strong attention to detail, project management skills the ability to work well with members of various teams.

How you will contribute:

  • Support the execution of compliance-related programs, such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, administration of records retention policies, internal compliance audits, and implementation of new compliance guidelines and procedures
  • Participate and collaborate in the review and analysis of new regulatory development
  • Contribute to the implementation of key processes designed to mitigate regulatory risk or o comply with applicable SEC and DOL rules; promote and maintain industry best practices
  • Collaborate with departmental leads/committees focused on the development and implementation of firm standard templates and procedures aimed at improving overall practice efficiency
  • Contribute to the continued implementation of compliance workflow and tracking software, including leading and developing training programs and communicating with the vendor on needed updates
  • Maintain strict confidentiality of employee and client information
  • Assist in the maintenance of Form ADV and other regulatory reports and filings

We are looking for people who have Forward Vision and:

  • Utmost integrity and high interpersonal skills to handle sensitive and confidential situations
  • Able to maintain a professional demeanor in highly charged situations
  • Advanced organizational skills and ability to manage multiple projects simultaneously.
  • Detail-oriented with strong decision-making and analytical skills
  • Ability to work effectively with teams and independently
  • Experience defining problems, establishing facts, and drawing valid conclusions
  • Excellent verbal and written communication skills

Minimum Qualifications:

  • Associate Degree
  • 1 year or more of compliance and/or operations experience within a financial services/investment management company
  • Proficiency with Microsoft Excel

Preferred Qualifications:

  • Bachelor's Degree
  • Knowledge of Investment Advisor compliance requirements

#LI-BS3 #LI-KCMO #LI-SGF #LI-CLTU #LI-CLTSP

City: Springfield

State: Missouri

Community / Marketing Title: Compliance Associate | Wealth Advisory

Location_formattedLocationLong: Springfield, Missouri US

CountryEEOText_Description:

At FORVIS, your career is designed with a purpose. We want our team members to thrive professionally and feel the impact their work yields when serving clients, industries, and local communities. This starts by empowering team members to design a career journey that leverages their skills and fuels their passions.

Creating a best-in-class employee experience is at the heart of our vision for the future. With a global presence and diversified service offerings, we provide our FORVIS team members with an abundance of career paths to choose from. We pride ourselves on building an inclusive culture where the backgrounds and talents of all our people are valued. We view our people as our most important asset and invest in them by providing competitive total rewards, professional development, and rewarding career opportunities.

About FORVIS

FORVIS is a Top-10 professional services firm providing assurance, tax, and advisory services, driven by our commitment to using our forward vision to provide rewarding career opportunities and deliver unmatched client experiences. Learn more at FORVIS.com

FORVIS, LLP is an equal opportunity/affirmative action employer. Employment selection and related decisions are made without regard to age, race, color, sex, sexual orientation, national origin, religion, genetic information, disability, protected veteran status, or other protected classifications.

It is FORVIS's standard policy not to accept unsolicited referrals or resumes from any source other than directly from candidates.

  • FORVIS expressly reserves the right not to consider unsolicited referrals and/or resumes from vendors including and without limitation, search firms, staffing agencies, fee-based referral services, and recruiting agencies.
  • FORVIS further reserves the right not to pay a fee to a recruiter or agency unless such recruiter or agency has a signed vendor agreement with FORVIS.
  • Any resume or CV submitted to any employee of FORVIS without having a FORVIS vendor agreement in place will be considered the property of FORVIS.

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