Responsibilities: Within UMB Fund Services Distribution Services department, assist Chief Compliance Officer (CCO) in overseeing and administering compliance programs. Ensure all client communications with the public comply with applicable FINRA and SEC regulations. Timely ad hoc review and filing of client communications with FINRA including ensuring communications are in compliance with applicable regulations and maintaining all required documentation. Daily review of registered representative correspondence; identify issues, escalate review as needed and resolve emergent issues appropriately. Ensure regulatory compliance across registered representatives via review of quarterly compliance forms and materials solicited for compliance testing purposes. Assist CCO in evaluating compliance policies effectiveness and help maintain appropriate records related to compliance activities including filings with FINRA. May also assist with Distribution Services sales reporting. Requirements: Bachelor's degree in related field and at least one year of related mutual fund experience or compliance related experience; or specialized formal compliance training. FINRA Series 6 and 26 or 7 and 24 required at time of hire or must be able to pass these exams within 90 days of hire. Strong written and verbal communication skills. Demonstrated ability to work effectively with clients/customers and constructively explain complex information.