Associate Compliance Officer - Branch Audits & Training
Job in
Overland Park, Johnson County, Kansas, 66213, USA
Listed on 2026-08-12
Listing for:
Prime Capital Financial
Apprenticeship/Internship
position Listed on 2026-08-12
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
Prime Capital Financial seeks an Associate Compliance Officer to lead examinations of branch offices, conduct client file reviews, and evaluate investment recommendations. You will gather data from Salesforce, ACA Compliance Alpha, and Orion, and work with advisors to implement improvements.
Ideal candidates hold relevant licenses and 3+ years in financial services compliance, with up-to-date knowledge of SEC/FINRA rules.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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