Policy Compliance Analyst

Advisors Excel

401(k)

United States, Kansas, Topeka

4123 Southwest Gage Center Drive (Show on map)

Apr 22, 2023

Position:
Policy Compliance Analyst

Location:	4123 Gage Center Dr. Suite 101
	Topeka, KS

Job Id:
1669

# of Openings:
1

Position: Policy Compliance Analyst

Department: Compliance

Reporting to: Senior Policy Compliance Analyst

Overview:

As part of the Compliance team at Advisors Excel the Policy Compliance Analyst will support the compliance needs of the organization by managing and enhancing the firm's written compliance policies and procedures. In an ever-changing regulatory environment, we are looking for a self-motivated individual, who embraces change and believes in proactive problem solving.

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 on projects related to compliance and be accountable for completion with or without direct oversight
Collaborate with business partners to publish policy and procedure changes
Create content for required training courses
Manage the process to ensure all training is completed by required individuals
Respond to advisor requests with optimal customer service while operating within ethical and compliance guidelines
Take a proactive approach to problem solving and aim for regular process improvement
Manage content and process for creating the monthly compliance newsletter

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
Professional approach and appearance

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 physician
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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