Compliance Analyst: E-Communications

Position: E-Communications Compliance Analyst

Department: Wealth Management Compliance

Reporting to: E-Communications Manager

Location: On-site in Topeka or Lenexa, KS

Overview

Are you an organized and detail-oriented professional looking for an exciting new challenge? Our growing E-Communications team is on the hunt for a passionate individual like you! In this role, you’ll manage and test our electronic communications tools to ensure our organization and clients stay compliant in the ever-changing regulatory landscape. If you are self-motivated, adaptable, and ready to make an impact, we want to hear from you.

What You’ll Do

• Regularly test and manage electronic communication tools to track advisors’ business communications, including but not limited to email, texting, social media, and websites
• Onboard new advisors and offices with our electronic communications tools; ensure all necessary communications are being archived accurately
• Offboard advisors and offices to ensure all tracking has been turned off
• Communicate regularly with advisors and office staff to ensure information is archived accurately
• Troubleshoot and problem-solve on various issues that arise with the tools and archive system
• Manage projects related to compliance tools
• Build and maintain relationships with various vendors
• Take a proactive approach to problem-solving and aim for regular process improvement

Experience You’ll Bring

• Previous experience in financial services
• Strong organizational skills, ability to prioritize and work with a high degree of accuracy while handling multiple responsibilities
• Confident, professional, and articulate in written and verbal communication
• Ability to work independently, but also as a collaborative team member
• Proactive problem-solving, strong analytical skills, and critical thinking abilities
• An aptitude for technology, embrace change, and a desire to learn

Bonus Points

• Experience in the securities industry related to supervision, compliance, and/or regulatory management
• Knowledge of FINRA and SEC regulations
• Experience in testing and maintaining a control environment with electronic communication tools
• Series 7, 24, and/or 65 licensed

What You’ll Get

• Amazing benefits, including medical, dental, vision, and 401k (with matching options)
• Generous PTO package upon your start date
• Access to an on-site café, gym, and primary care
• Continuous personal and professional development opportunities
• Recognition for hard work & exemplary performance
• Employee-sponsored events…and more!

Who We Are

Advisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors’ businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!

Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here – as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.