Compliance Specialist - Financial Services

UMB Bank•Kansas City, MO

1d•$81,864 - $120,406

About The Position

UMB Financial Services Inc. (UMBFSI) is UMB’s broker-dealer and investment-advisor affiliate, governed by FINRA and the SEC. UMBFSI serves retail and institutional customers and municipalities through brokerage accounts, qualified retirement plans, retirement plan consulting, college planning, retirement planning, and other services. The Compliance Specialist works with a dedicated compliance team to implement UMBFSI’s compliance program. The role oversees electronic communications, social media, correspondence, branch office examinations, marketing, and advertising; monitors regulatory developments; prepares regulatory filings and responds to regulatory inquiries; and provides guidance on regulatory implications related to rules, products, and services. The specialist also collaborates with UMBFSI associates and departments including corporate risk, legal, human resources, and internal audit to support compliance with applicable requirements. The role helps identify training needs, develops training curriculum, and delivers training at annual compliance meetings, monthly roundtable calls, new-hire orientations, and as needed. Other compliance duties may be assigned. The position was posted on October 23, 2026. The application deadline is 45 days after the posting date unless the position is filled earlier. The compensation range is $81,864–$120,406; actual pay may vary based on geographic location, experience, and other job-related factors.

Requirements

Bachelor’s degree or equivalent education and experience.
Five years of relevant experience.
FINRA Series 7.

Nice To Haves

FINRA Series 24, or willingness to attain it within 90 days of hire.
FINRA Series 52, Series 53, and Series 66, or Series 63 and Series 65.
Seven years of compliance experience in the securities industry.
Advanced degree such as an MBA or JD.
State insurance licensing in fixed and variable insurance products for all states where UMB Insurance is admitted.

Responsibilities

Implement UMBFSI’s compliance program as part of a dedicated compliance team.
Oversee electronic communications, social media, correspondence, branch office exams, marketing, and advertising.
Monitor and review regulatory developments that may affect the firm, including those from FINRA, SEC, MSRB, and other regulatory organizations.
Prepare regulatory filings and respond to regulatory inquiries.
Provide guidance on regulatory implications associated with new or proposed rules and new UMBFSI products or services.
Work with UMBFSI associates and departments including corporate risk, legal, human resources, and internal audit to support compliance with applicable rules and regulations.
Help identify educational and training needs and develop training curriculum.
Provide training during the annual compliance meeting, monthly roundtable calls, new-hire orientations, and as needed.
Perform other compliance duties as assigned.

Benefits

Paid time off.
401(k) matching program.
Annual incentive pay.
Paid holidays.
Company-sponsored benefits plan, including medical, dental, vision, and other insurance coverage.
Health savings, flexible spending, and dependent care accounts.
Adoption assistance.
Employee assistance program.
Fitness reimbursement.
Tuition reimbursement.
Associate wellbeing program.
Associate emergency fund.
Associate banking benefits.