Compliance OfficerHonkamp Krueger Financial Services, Inc, Dubuque, IA
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Honkamp Krueger Financial Services, Inc. (HKFS) is a premier wealth management firm delivering comprehensive services to high net worth clients primarily through partnerships with progressive CPA practices. Through this unique approach, HKFS has helped thousands of clients stay on track with their wealth management goals.
Founded in 1995 and a member of Accounting Today’s Billion Dollar Club, our rapidly growing firm offers a full array of wealth management products including asset management, risk management, brokerage services and retirement planning services.
We regularly seek to add to our experienced and motivated team, both in our Dubuque, Iowa headquarters, and our field offices located throughout the country. If we currently do not have position available, you are encouraged to apply in case of future career opportunities.
Please feel free to visit our website at www.hkfs.com
HK Financial Services (HKFS), a top 100 wealth manager, (Forbes, 2016) is seeking a compliance officer to assist with the administration of the firm's compliance program.
- Supporting the firm in monitoring the various compliance aspects of its operations
- Conducting various routine compliance functions
- Reviewing current policies, controls, and procedures for compliance with laws and regulations
- Assisting the firm and its staff with the implementation of new policies/procedures, or updates to existing policies/procedures
The ideal candidate:
We're interested in proactive individuals with a high degree of integrity who are willing to take the lead in setting the tone for corporate integrity.
This role requires:
- Bachelor's degree
- Series 65/66 required, or ability to obtain within 6 months
- Prior compliance, surveillance or operational experience preferred
- Strong organization and analytical skills
- Effective communication skills
- Strong attention to detail
What we offer:
We offer a competitive wage and benefits package that includes health/dental/vision insurance and 401k Plan. Our benefits package also includes a minimum of 11 days of paid time off, birthday PTO, 8 observed holidays and a range of programs and benefits designed to support your physical, financial and social well-being. Plus, we offer:
- Community service participation
- Opportunities to develop new skills and progress your career
- Flexible schedules
- Mentoring programs
- Wellness programs
What does a career with HK mean exactly? Check out our video at https://youtu.be/FHOS25wjWXg.
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