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