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19Feb

Compliance Officer

Honkamp Krueger Financial Services, Inc, Dubuque, IA

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. 

Key responsibilities:

  • 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.

EOE

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Job Details

Req Num --
ID 434482
Location
Dubuque, IA
Positions 1
Type
--
Status
--
Pay --
Categories
Banking/Mortgage/Financial Services
Benefits
Health Insurance
Dental Insurance
Vision Insurance
Life Insurance
Retirement Plan
Paid Vacation
Paid Holidays

Preferred Candidates

Years of Experience --
Education --

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