Compliance Administrator

At Keating and Associates, each individual has a unique ability, a unique story, and a unique contribution that is vital to our success. With diverse experiences, cultures, backgrounds, and beliefs we are a better company, and we better serve our valued clients. True teamwork is only possible when we embrace that our differences make us better together. By creating an environment where people are welcomed and equipped to do their best, we fully embrace our core values of excellence, abundance mindset, and teamwork. 

What Keating and Associates can offer you! 

• Professional Development 

• 9 paid holidays, including your birthday and a floating holiday! 

• 401(k) with company match  

• Employer-Paid Disability, Life Insurance, and Employee Assistance Program 

• Health, Vision, and Dental Plans  

• Dependent Care and Flexible Spending Accounts  

• Paid Time Off 

• Fun Company Events such as Lunch & Learns, Virtual Staff Hangouts, Annual All Company Weekend, and more! 

Learn more about us at https://keatinginc.com/why-keating. 

Keating and Associates, Inc.

Compliance Administrator 

Job Summary 

We are looking for an organized, detail-oriented Compliance Administrator to join our compliance team at KEATING. The Compliance Administrator will provide service to our financial advisors and clients through excellent compliance administration. This role is perfect for someone who thrives on thoroughness, loves processes, and excels in task management. As a Compliance Administrator, you will be responsible for a variety of critical tasks that ensure our operations adhere to regulatory requirements and internal policies. If you are someone who enjoys ensuring every detail is accounted for and every task is managed efficiently, we would love to hear from you. 

This position is non-exempt and located onsite in our Wichita, KS office. The Compliance Administrator will report to the Branch Manager. 

Responsibilities include, but are not limited to: 

1. Filling out KFAS paperwork for client signatures, including mailing and receiving all wet signature KFAS forms. 

2. Maintaining client contact records in our CRM systems. 

3. Adhering to regulatory requirements and internal policies. 

4. Conduct periodic audits and assessments of investment activities while collaborating with the Compliance Manager to prepare for branch exams.  

5. Preparing compliance reports and documentation. 

6. Escalating any discovered documentation or process deficiencies that have legal and policy violation impacts to our Compliance Manager. 

7. Uploading and maintaining organized communication around Advertising & Compliance Approvals. 

8. Assisting in the development and implementation of internal review compliance processes. 

9. Learning new industry and regulatory information and bringing back to the department 

10. Tracking and confirmations of Prudent Process items such as “know your client” and trusted contact documentation 

11. Offering informed support to other team members on compliance software utilization. 

12. Assisting with sending out and tracking to completion KFAS paperwork related to investment accounts, ensuring contracts are accurate and in good oder.  

13. Depositing checks. 

14. All other duties as assigned  

Desired skills include, but are not limited to: 

• Compliance, investment and/or financial professional experience a plus 

• Strong attention to detail and checking work for accuracy 

• Able to exercise independent judgment and maintain ethics 

• Deliver clear, effective communication across all mediums 

• Takes initiative to solve problems 

• Personable, service oriented, and collaborative 

• Savvy with new technology 

• Strong follow through and organizational skills  

• Comfortable with numbers, reports, and spreadsheets  

• Demonstrated habit of going above and beyond in customer service 

• Collaborates well with leaders and colleagues