Compliance Director

Department: Wealth/Securities Compliance

Reports To: Chief Compliance Officer

Status: Full-time, Exempt

Location: Overland Park, Kansas (onsite)

Looking for a dynamic and rewarding career in financial services? Join us at Creative One, where we blend collaboration, innovation, and excellence to forge a path in the financial services industry. We pride ourselves on being a nationally recognized leader, devoted to empowering independent financial advisors with superior services.

• Energetic and fun work environment
• A culture driven by solutions and results
• Opportunities for growth and development

We’re Building a Better Financial Future, Together

We take immense pride in our work and are in search of like‑minded individuals who are eager to make a significant impact. If you’re ready to be a part of a team that’s shaping the future of financial services, we’d love to hear from you.

The Compliance Director uses knowledge and skills obtained through education and experience to ensure compliance of broker‑dealer and investment advisory business practices for our dually registered Broker‑Dealer and Registered Investment Adviser. This role will be responsible for ensuring that the firm operates in full accordance with applicable federal securities laws, FINRA rules, SEC regulations, and internal policies across both business lines.

The Compliance Director will also perform other large or multiple initiatives that have significant scope and impact which support the firm’s compliance monitoring of commissioned products and fee‑based advice. The ideal candidate will work independently and with teams on difficult assignments that can be broad in nature to provide comprehensive solutions to complex problems along with routine oversight functions.

• Stays abreast of regulatory changes and annual filing requirements.
• May manage a compliance team, with responsibility for daily direction, performance development and performance management.
• Leads the firm’s advertising review process, maintaining and ensuring knowledge of current regulatory and industry requirements.
• Designs, implements, and executes activities related to portfolio monitoring and oversight.
• Administers the firm’s Code of Ethics and daily monitoring.
• Interprets data and analyzes activities identified via various data systems and reporting.
• Conducts due diligence related to specific risk factors through the review of client documentation, trade history, account holdings, and/or other factors as necessary. Includes directly contacting Registered Representatives and/or Investment Advisor Representatives and communication with branch management.
• Provides compliance support in the development and enhancement of compliance oversight programs for broker‑dealer and investment advisory activities, products and various areas of coverage including operational businesses.
• Assists with compliance governance reporting for all compliance pillars, including compliance representation, conducting research, due diligence, documentation, escalation, collaboration within and outside compliance groups related, but not limited to, issue management, emerging risks, regulatory changes, supplier, and product risk assessments.
• Reports compliance program status and activities to compliance and business management personnel by preparing both written and oral presentations, including assigned business areas and monitoring reviews.
• Monitors exception and other internal reports for adherence with applicable rules and regulations and escalates identified issues to Senior Management any that involve rule violations or potential liability.
• Researches, interprets, and translates regulatory rules/regulations or company policies for Senior Management and supported business units.
• May contribute to compliance training programs, assist with responses to regulatory agency inquiries and updating policies and procedures.
• Coaches and mentors less experienced Compliance associates.
• Performs other duties and responsibilities as assigned.

• Concepts, practices, and…