Legal & Compliance Counsel
About The Position
Our client is an established, privately held financial services and insurance enterprise headquartered near Crown Center in Kansas City. Spanning specialized lines of business across insurance administration, broker-dealer investment services, affinity association programs, and employee benefits, the organization pairs seventy-plus years of multi-generational institutional stability with agile local decision-making. Backed by a collegiate, collaborative in-house legal and compliance division, the firm delivers cross-functional counsel directly supporting enterprise leadership across all operating brands. Serving as an embedded regulatory advisor, this role provides operational sovereignty and proactive guidance across multi-entity financial and insurance operations. Rather than functioning in an isolated corporate silo, you will operate as a core legal partner to business leaders, product developers, and executive teams navigating complex multi-jurisdictional frameworks. You will serve as the legal backbone safeguarding new program launches, monitoring statutory shifts, and translating regulatory complexity into commercially viable business operations.
Requirements
- 5+ years of dedicated legal and compliance experience within financial services, broker-dealer/wealth management, insurance, or an adjacent highly regulated institutional sector.
- Strong working grasp of federal and state regulatory oversight bodies (SEC, FINRA, state insurance commissioners) and operational knowledge of regulated financial or risk products.
- Active Bar admission in good standing (Missouri or eligibility for reciprocal licensing).
- High comfort level balancing multi-entity priorities across distinct operating subsidiaries without sacrificing analytical rigor or regulatory precision.
- Practical, solutions-oriented counsel that earns the trust of non-legal operational peers and executive stakeholders alike, avoiding legal bottlenecks while fiercely protecting the enterprise.
Responsibilities
- Deliver day-to-day legal and compliance counsel across broker-dealer, investment advisory, health, and specialty insurance entities, interpreting state and federal statutes to guide business decisions.
- Partner directly with operations and product leaders to vet novel association programs, life and annuity structures, and administration contracts prior to market deployment.
- Track legislative, FINRA, SEC, and state insurance department regulatory developments, proactively translating statutory mandates into clear internal operating policies.
- Draft, review, and negotiate critical business agreements, vendor arrangements, and cross-affiliate compliance structures while safeguarding corporate integrity across all operating subsidiaries.
Benefits
- Comprehensive enterprise benefits
- Employer-paid parking
- Direct access to organizational leadership
- Competitive Package: Defined 120K – 160K base comp band with full organizational comfort across the entire range
- Comprehensive benefits
- Employer-paid dedicated parking in a walkable urban campus adjacent to parks, dining, and transit.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
