Honkamp Krueger & Co., P.C.
  • Des Moines, IA, USA
  • Full Time

HK Financial Services (HKFS), a top 100 wealth manager, (Forbes, 2015) is seeking a compliance officer to perform compliance and fiduciary requirements concerning RIA Managed Accounts.

Key responsibilities:

  • Reviewing new advisory accounts for compliance with onboarding requirements
  • Administering the firm's client identification and verification policies
  • Coordinating and administering the firm's custody policies
  • Assisting in enforcing monthly, quarterly and annual compliance reporting

The ideal candidate:

We're interested in proactive individuals who are willing to take the lead in setting the tone for corporate integrity.

This role requires:

  • Bachelor's degree
  • Series 65/66 required, or ability to obtain within 6 months
  • Prior experience in a financial services role
  • Compliance experience or training preferred
  • Strong organization and analytical skills
  • Effective communication skills

What we offer:

We offer a competitive wage and benefits package that includes health/dental/vision insurance and 401k Plan. Our benefits package also includes a minimum of 11 days of paid time off, birthday PTO, 8 observed holidays and a range of programs and benefits designed to support your physical, financial and social well-being. Plus, we offer:

  • Community service participation
  • Opportunities to develop new skills and progress your career
  • Flexible schedules
  • Mentoring programs
  • Wellness programs

What does a career with HK mean exactly? Check out our video at https://youtu.be/FHOS25wjWXg.



Honkamp Krueger & Co., P.C.
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