Location: Overland Park, KS
Job Type: Full-Time-in Office
About Us: CreativeOne Securities is a leading broker/dealer firm committed to providing exceptional
financial services and investment solutions to our clients. We are seeking an experienced and motivated
Principal to ensure compliance with industry regulations.
Job Summary: The Principal - Broker/Dealer RIA will ensure adherence to regulatory requirements,
managing risk, and driving business growth. This role requires a deep understanding of financial
markets, strong leadership skills, and the ability to navigate complex regulatory environments.
Key Responsibilities:
- Review: Daily review paperwork submitted by our Advisors and Registered Representatives to
ensure compliance with all regulatory requirements.
- Regulatory Compliance: Ensure the firm complies with all relevant regulations, including SEC,
FINRA, and other regulatory bodies.
- Risk Management: Identify, assess, and mitigate risks associated with broker/dealer activities.
Report those risks to upper management.
- Advisor-Registered Rep Relations: Build and maintain strong relationships with Registered Reps’
offices and home office operations, providing exceptional service and support.
- Audit: Support firm during regulatory audits by providing information, data gathering and
reports during regulatory audits. FINRA, SEC, and financial audits.
- Branch Audits: Perform branch audits working with Compliance department to ensure
compliance at the individual offices with all regulatory requirements.
- Registration & Licensing: Support the Registration & Licensing department as needed.
- Training and Development: Support the training and development of staff, sales assistants,
Registered representatives, and their staff to ensure they are knowledgeable and compliant
with industry standards.
Preferred Qualifications:
- Series 7, 24 and 65 or 66 required.
- Bachelor's degree or equivalent: Business, or a related field
- Minimum of 5years of experience in the financial services industry, with a focus on
broker/dealer operations.
