Position: Compliance Analyst
Department: Compliance
Reporting to: Compliance Manager & Regulatory Counsel
Location: Lenexa, KS or Topeka, KS - Onsite
Overview:
As a Compliance Analyst, you will play an integral role in our Vendor Review Program, ensuring that our vendors' capabilities align with our compliance policies. You will work closely with vendors and our IT team to identify potential risks and provide crucial data analysis to senior leadership. Your role will be pivotal in maintaining the integrity and efficiency of our compliance processes.
If you are a detail-oriented professional with a passion for compliance and a knack for data analysis, we would love to hear from you!
What you'll do:
- Oversee the compliance aspects of the Vendor Review Process for AE Wealth and AE Financial Services
- Collaborate with various business units and compliance department members to address compliance requirements related to technologies and vendors
- Assist in drafting disclosures for platforms and outputs related to technologies and vendors
- Document the firm's review process for technologies and vendors
- Maintain consistent communication with project managers to ensure alignment on timelines and deliverables
- Work closely with product owners, developers, and other project team members to ensure cohesive collaboration
- Gather, analyze, and prepare data to create comprehensive business reports for senior leadership, highlighting key business trends
- Influence and educate peers on compliance policies and requirements
- Take a proactive approach to identify and resolve issues, aiming for continuous improvement in processes
- Perform other related duties as requested by management
Experience you'll bring:
- 2-3 years of experience in project management, business analysis, or process re-engineering
- Proficiency in data and metric reporting
- Strong understanding of compliance requirements related to technologies and vendors
- Aptitude for technology, embracing change, and a desire to learn
- Excellent technical writing and documentation skills
- Strong written and oral communication skills, capable of translating technical terms for business partners with limited technical knowledge
- Ability to independently manage projects and tasks with limited supervision
- Strong organizational skills, with the ability to manage a heavy workload and navigate competing priorities
- High degree of accuracy in a fast-paced environment
- Proficiency in Microsoft Excel
Bonus Points:
- Background in financial services is preferred, particularly in compliance and/or regulatory management
- Familiarity with FINRA, SEC, and various state regulations
- Proven ability in drafting business procedures, documents, and/or developing training materials
- Skill in writing internal communications for large audiences
- Proficiency in Microsoft Access or other database management systems
- Experience in Smartsheet, Monday.com, or similar project management platforms
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous paid time off package upon your start date
- Access to an on-site cafe, 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.
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Advisors Excel
paid time off, 401(k)
Jul 19, 2024