Adaptive Solutions Group is a premier provider of information technology personnel. We provide a variety of technical professionals available for contract, contract to hire, or direct placement positions to companies in and around the Kansas City, St. Louis, Denver, and Dallas Areas.
We are currently looking for a Compliance Officer to join our team.
Duties and Responsibilities
Work with new, existing and departing employees to identify and effectively manage any personal or professional conflicts of interest, personal account dealing (including review and approval of trade pre-clearance requests), outside activities, and gifts and entertainment.
Develop and review daily reports of activities and/or exceptions and monitor communications systems to identify conflicts and help ensure compliance with policies and regulations.
Maintain and enforce procedures designed to prevent and detect the misuse of material non-public information and to manage conflict.
Provide timely information barrier advise and training and education.
Identify and escalate potential reputational issues, pre-empting and preventing compliance breaches where possible.
Assist in development, implementation, and maintenance of Compliance related policies and procedures.
As workload permits, work with other compliance staff on adhoc projects, including, but not limited to regulatory exams and internal/external audit remediation.
5 – 7 years of regulatory compliance experience
Ability to understand and apply regulations applicable to the Control Room function
Being time conscious when it comes to deliverables
Strong Microsoft Suite skills, especially Excel, Word, and Outlook
Strong analytical, communication and decision-making skills.
Ability to work independently.
Excellent written and oral communication skills.
Good interpersonal skills in order to establish a rapport with internal and external parties.
Thorough knowledge of applicable laws and regulations.
Ability to read, analyze and interpret governmental regulations and regulatory issuances.
Ability to analyze complex issues and provide sound judgement in decision making process.
Must be well organized with the ability to manage multiple tasks.
Experience interfacing with regulators in US and Europe.
Experience interfacing with all levels of management of the organization
Adaptive Solutions Group offers a competitive compensation and benefits package that includes medical, dental, STD/LTD, life insurance coverage, 401k, paid vacation and holidays.
Adaptive Solutions Group is an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, and veteran or disability status.