Compliance Examiner

Company: Advisors Excel
Location: Topeka
Posted on: May 25, 2023

Job Description:

Job Posting Title: Compliance ExaminerDepartment: WM ComplianceOverview:We are seeking a highly motivated individual to join our Compliance Examination team. As part of our comprehensive compliance department, this team is responsible for conducting branch audits of registered representatives/investment advisor representatives all over the country, who utilize our Wealth Management and Financial Services platforms. The Examiner will be responsible for conducting thorough audit reviews, identify any compliance issues and work through the remediation process.What you'll do:Lead full cycle (remote and onsite) examinations to identify deficiencies in compliance processes and procedures.Create comprehensive examination reports and clearly communicate findings; provide solution-based feedback on any compliance issues found.Regular communication with advisors and office staff for audit prep, records/document maintenance, required reporting submissions and prompt response to various compliance needs.Collaborate with the Wealth Management and Financial Services Marketing and Operational teams to identify and resolve various compliance issues.Stay up to date on new and existing regulatory requirements.Experience you'll bring:At least 2 years of financial service Industry experienceConfident, professional and articulate in written and verbal communication; experience conducting meetings and presentationsStrong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever-changing prioritiesDetail-orientated; able to work with high degree of accuracy in a fast pace environmentAbility to travel (30% - 50%)Bonus Points:Experience in supervision, compliance and/or regulatory managementExperience conducting exams or auditsKnowledge of SEC/FINRA, and various state rules and regulationsRequired industry exams: Series 7, Series 24, and Series 66 (or 63/65) if candidate does not have series licenses, they will be required to begin obtaining licenses within 6 months of start dateExperience with technical supervisory systems (Orion, ProSurv, Smarsh and RegEd)What you'll get:Amazing benefits including medical, dental, vision and 401k (with matching options)Generous PTO package upon your start dateAccess to an on-site caf--, gym, and primary careContinuous personal and professional development opportunitiesRecognition for hard work & exemplary performanceAfter work activities and so much 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.

Keywords: Advisors Excel, Topeka , Compliance Examiner, Other , Topeka, Kansas