Position: E-Communications Compliance Analyst
Department: Wealth Management Compliance
Location: Onsite in Topeka or Lenexa KS office
Overview:
Are you an organized and detail-oriented professional looking for an exciting new challenge? Our growing E-Communications team is on the hunt for a passionate individual like you! In this role, you'll manage and test our electronic communications tools to ensure our organization and clients stay compliant in the ever-changing regulatory landscape. If you are self-motivated, adaptable and ready to make an impact, we want to hear from you.
What you'll do:
- Regularly test and manage electronic communication tools to track advisors' business communications; including but not limited to email, texting, social media, websites
- Onboard new advisors and office with our electronic communications tools; ensure all necessary communications are being archived accurately
- Offboard advisors and offices to ensure all tracking has been turned off
- Communicate regularly with advisors and office staff to ensure information is archiving accurately
- Troubleshoot and problem solve on various issues that arise with the tools and archive system
- Manage projects related to compliance tools
- Build and maintain relationships with various vendors
- Take a proactive approach to problem solving and aim for regular process improvement
Experience you'll bring:
- Previous experience in the financial services
- 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 working independently but also as a collaborative team member
- Proactive problem solving, strong analytical skills, critical thinking abilities
- An aptitude for technology, embrace change, and have a desire to learn
Bonus Points:
- Experience in securities industry related to supervision, compliance and/or regulatory management
- Knowledge of FINRA and SEC regulations
- Experience testing and maintaining a control environment with electronic communication tools
- Series 7, 24, and/or 65 licensed
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package upon your start date
- Access to an on-site cafe, gym and primary care physician (locations vary)
- 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
401(k)
Aug 15, 2024 