Position: Supervision Specialist
Department: Compliance
Location: Topeka, KS or Lenexa, KS - Onsite
Overview:
As a Supervision Specialist, you will be responsible for supervising daily business activities of investment advisor representatives who utilize our Wealth Management and Financial Service platforms. Our diligent supervisory team strives to provide proactive compliance support in a quick and efficient manner to our clients in an everchanging regulatory environment.
What you'll do:
- Conduct ongoing review of registered investment advisors' activities, including but not limited to trading activity; suitability review; fees analysis; outside business activities; checks/securities; correspondence; gift and business entertainment logs, and electronic communications and social media posts
- Identifying suspicious patterns in daily business and swiftly provide resolution
- Ensure advisors understand policies and procedures through training and coaching
- Work with internal teams to continually refine supervisory process
- Take a proactive approach to problem solving and aim for regular process improvement
Experience you'll bring:
- At least 2 years of financial service experience
- Knowledge of industry rules & regulations
- Confident, professional, and articulate in written and verbal communication
- Ability to lead tough conversations with exceptional problem determination skills
- Strong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
- Ability to work with a high degree of accuracy in a fast pace environment
Bonus Points:
- Previous experience in compliance or supervision
- Series 7,24, 66 or 63/65
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package
- Access to an on-site cafe, gym and 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)
Aug 17, 2024 