Compliance Officers

UMB Financial Services Inc (UMBFSI) is the broker dealer/investment advisor affiliate of UMB that is governed by FINRA and the SEC. Within UMBFSI we serve retail customers as well as institutional customers and municipalities with services such as discount and full-service Brokerage accounts, Qualified Retirement Plans, Retirement Plan Consulting Services, college planning and retirement planning among many others.
As a Compliance Specialist, you will work with a dedicated compliance team to implement UMBFSI’s compliance program.
You will oversee electronic communications, social media, correspondence, branch office exams, marketing and advertising.
You will monitor and review regulatory developments that may affect the firm, including those from FINRA, SEC, MSRB and other regulatory organizations.
You will prepare regulatory filings and respond to regulatory inquiries.
You will provide guidance on regulatory implications associated with new or proposed rules and new UMBFSI products or services while working closely with UMBFSI associates and other UMB departments to further ensure compliance with applicable rules and regulations, including corporate risk, legal, human resources and internal audit.
You will assist with identifying educational and training needs and developing training curriculum, and provide training during the annual compliance meeting, monthly roundtable calls, new hire orientations, and at other times, as needed.
Other compliance duties as assigned.

You possess a bachelor’s degree or equivalent education and experience

~ Bonus Points if you:
You have seven (7) years of compliance experience in the securities industry.
Advanced Degree (MBA, JD)
The application deadline for this position is 45 days from the posting date unless filled earlier.

paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; an employee assistance program; fitness reimbursement; tuition reimbursement; and various associate banking benefits. Youre more than a means to an end—a way to help us meet the bottom line. UMB isnt comprised of workers, but of people who care about their work, one another, and their community. UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to

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