As a Compliance Specialist, you will work with a dedicated compliance team to implement UMBFSI's compliance program.
How you'll spend your time: - 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.
We're excited to talk with you if: - You possess a bachelor's degree or equivalent education and experience
- You have three (3) years of relevant experience
- You possess the FINRA Series 7
Bonus Points if you:- Possess the FINRA Series 24 (or a willingness to attain within 90 days of hire)
- Possess the FINRA Series 52, 53, 66 (or 63 and 65).
- You have seven (7) years of compliance experience in the securities industry.
- Advanced Degree (MBA, JD)
- State insurance licensing in fixed and variable insurance products for all States where UMB Insurance is admitted.
This position was posted on 10/27/2026. The application deadline for this position is 45 days from the posting date unless filled earlier.
Compensation Range:$67,869 - $99,836
The posted compensation range on this listing represents UMB's good faith and reasonable estimate based on its budget and what it expects to be the starting pay for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. Please see the description of benefits included with this job posting for additional information.
UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.
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