Senior Compliance Analyst​/Advertising Review

Title: Senior Compliance Analyst / Advertising Review

Department: Wealth/Securities Compliance

Reports to: Chief Compliance Officer

Status: Full-time, Exempt

Location: Overland Park, Kansas (onsite)

Elevate Your Career at Creative One!

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.

Why Join Creative One?

• 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.

Position Summary

The Sr. Compliance Analyst will assist the Chief Compliance Officer (CCO) in keeping our dually registered Broker-Dealer and Registered Investment Adviser compliant with federal securities laws through establishing and enforcing controls, best practices, and ethical standards. This position will assist in implementing and coordinating the compliance functions throughout Creative One Securities and Creative One Wealth.

The Sr. Compliance Analyst will use knowledge and skills obtained through education, specialized training and/or certification to assist the CCO in supervising a comprehensive compliance and oversight program designed to ensure compliance with all applicable regulatory requirements.

Duties and Responsibilities include, but not limited to:

• Supervision of RRs’ (Registered Representative) and IARs’ (Investor Adviser Representative) electronic communications, personal trading, investment recommendations, and other business activities.
• Escalate and address potential policy violations with RR and IARs as identified through supervision activities.
• Lead planning, preparation, and execution of RR and IAR branch exams.
• Enhance and maintain the organizational and record-keeping processes that enable timely and accurate responses to regulatory inquiries and examinations as they arise.
• Assist in the collection and analysis of data for regulatory reporting, disclosures, and inquiries.
• Perform annual and quarterly testing and reviews in support of Broker-Dealer and Registered Investment Adviser compliance requirements, including the annual 206(4)-7 requirements.
• Research and analyze relevant regulation, information, and resources to ensure firm policies and procedures as well as all applicable laws and regulations are followed.
• Review and recommend updates to the firm’s compliance policies and procedures, including the Code of Ethics, Compliance Manual, as well as providing mentoring and training for licensed professionals.
• Serves as an internal liaison to address ad hoc compliance operational questions and issues.
• Conducts advertising review, maintaining and ensuring knowledge of current regulatory and industry requirements.
• Serves as primary point of contact by actively monitoring and responding to the compliance email inbox and fielding inbound calls from RRs and IARS, providing timely guidance on firm policies, regulatory requirements, and day-to-day supervisory activities

Critical Skills Sought

• Strong work ethic and hands-on approach.
• Positive attitude.
• Adaptability to a frequently evolving work environment.
• Customer and business-centric and collaborative mindset.
• Proven ability to communicate effectively at all levels of an organization.
• Strong organizational skills and confirmed ability to set and meet deadlines in a high paced environment.
• Advanced analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions.
• Excellent project-management skills, with creative techniques to coordinate across departments and functions.
• Well-versed in the art of drafting procedures and evaluating internal controls.

Preferred Background/Experience

• Bachelor of Arts/ Bachelor of…