Auditing, Business Growth, Business Operations, Communication Skills, Detail Oriented, Financial Services, Identify Issues, Maintain Compliance, Marketing, Organizational Skills, Presentation/Verbal Skills, Primary Care, Problem Solving Skills, Record Keeping, Registered Investment Advisor (RIA), Regulatory Compliance, Regulatory Requirements, Sales Operations, Series 24, Series 66, Series 7, State Laws and Regulations, Team Player, Wealth Management, Willing to Travel
Position Compliance Examiner
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Department: Compliance
Reporting to: Compliance Manager
Location: Topeka, KS and Lenexa, KS - Onsite open to hybrid or remote.
Overview
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We are seeking a highly motivated individual to join our Compliance Examination team. As part of our comprehensive compliance department, this team is responsible for conducting branch audits of registered representatives and investment advisor representatives across the country who utilize our Wealth Management and Financial Services platforms. The Examiner will be responsible for conducting thorough audit reviews, identifying any compliance issues, and working through the remediation process.
What Youll Do
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- Lead full-cycle remote and onsite examinations to identify deficiencies in compliance processes and procedures.
- Create comprehensive examination reports and clearly communicate findings, providing solution-based feedback on any compliance issues found.
- Regular communication with advisors and office staff for audit prep, records, document maintenance, required reporting submissions, and prompt response to various compliance needs.
- Collaborate with the Wealth Management and Financial Services Marketing and Operational teams to identify and resolve various compliance issues.
- Stay up to date on new and existing regulatory requirements.
Experience Youll Bring
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- At least 2 years of financial service industry experience
- Confident professional and articulate in written and verbal communication
- Experience conducting meetings and presentations
- Strong organizational skills, capacity to manage a heavy workload while navigating a variety of competing ever-changing priorities
- Detail-oriented, able to work with a high degree of accuracy in a fast-paced environment
- Ability to travel 30 - 50
Bonus Points
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- Experience in supervision, compliance, and/or regulatory management
- Experience conducting exams or audits
- Knowledge of SECFINRA and various state rules and regulations
- Industry exams (Series 7, Series 24, and Series 66 or 6365)
- Experience with technical supervisory systems (Orion ProSurv, Smarsh, and RegEd)
What Youll Get
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- Amazing benefits, including medical, dental, vision, and 401k with matching options
- Generous PTO package from your start date
- Access to an on-site café, gym, and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work and exemplary performance
- Employee-sponsored events…and more
Who We Are
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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.