Sr. Advisor Services Specialist

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.

• Strong knowledge of SEC, FINRA, and other regulatory requirements.
• Proven leadership and management skills.
• Excellent analytical and problem-solving abilities.
• Effective communication and people skills.
• Ability to work in a fast-paced, dynamic environment.

This description covers the major purpose and major functions of the job. It is not intended to give all details or a

step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions

and be required to perform other job-related duties requested by their supervisor. All requirements are subject to

possible modification to provide reasonable accommodation to qualified individuals with disabilities.

CreativeOne provides equal employment opportunities to all employees and applicants for employment and

prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national

origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any

other characteristic protected by federal, state or local laws.