Title: Policy Compliance Analyst
Department: AE Wealth Management Compliance
Reporting to: Policy and Training Manager
Location: Lenexa, KS or Topeka, KS - Onsite
Overview:
As a Policy Compliance Analyst at Advisors Excel, you will be an integral part of our Compliance team, responsible for developing and maintaining our organization's compliance policies and procedures. This role ensures that our firm adheres to evolving regulatory requirements and industry standards, minimizing risk while promoting best practices. You will work closely with internal departments to assess and improve existing policies, ensuring they align with regulatory and business needs.
If you have a passion for compliance, a proactive approach to problem-solving, and a desire to drive continuous improvement, this role is for you.
What you'll do:
- Draft new and update existing written compliance policies and procedures pertaining to registered investment adviser and broker-dealer standards
- Stay up to date on federal and state statutes/regulations pertaining to the securities industry
- Take ownership of compliance-related projects, ensuring timely completion with or without direct supervision
- Collaborate with business partners to publish policy and procedure changes
- Create and maintain content for required compliance training courses, ensuring accuracy and clarity
- Manage the process to ensure all required individuals complete compliance training within set deadlines
- Respond to advisor inquiries with a focus on delivering excellent customer service while adhering to ethical and compliance standards
- Oversee the creation and content of the monthly compliance newsletter, ensuring timely and relevant updates
- Take a proactive approach to identifying opportunities for process improvements and implementing solutions to enhance compliance operations
Experience you'll bring:
- Strong technical writing experience and background
- Minimum 3-5 years of securities industry experience (operations, supervision, compliance and/or regulatory management)
- Knowledge of FINRA SEC, and various state rules/ regulations
- 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 interact with all personality types and with all levels of staff
- Able to work alone or in a team environment
- Ability to handle confidential information
Bonus Points:
- Experience drafting business procedures, documents and/or training development
- Experience writing internal communications for large audiences
- Series 7 examination preferred or interested in obtaining in the future
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package from your start date
- Access to an on-site cafe, gym and even an on-site primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
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.
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Advisors Excel
401(k)
Dec 03, 2024