Compliance Examiner

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Position: Compliance Examiner

Department: Compliance

Reporting to: Compliance Manager

Location: Topeka, KS / Lenexa, KS - Onsite, open to hybrid or remote.

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/investment advisor representatives all over 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.

• Lead full-cycle (remote and onsite) examinations to identify deficiencies in compliance processes and procedures.
• Create comprehensive examination reports and clearly communicate findings; provide 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.

• 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%)

• Experience in supervision, compliance, and/or regulatory management
• Experience conducting exams or audits
• Knowledge of SEC/FINRA, and various state rules and regulations
• Industry exams:
  Series 7, Series 24, and Series 66 (or 63/65)
  • If the candidate does not have a series of licenses, they will be required to begin obtaining licenses within 6 months of start date
• Experience with technical supervisory systems (Orion, Pro Surv, Smarsh, and Reg Ed)

• 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 & exemplary performance
• Employee-sponsored events…and more!

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.

• Entry level

• Full-time

• Finance and Sales

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