E-Communications Compliance Analyst

Advisors Excel

401(k)

United States, Kansas, Topeka

Mar 07, 2025

Position:
E-Communications Compliance Analyst

Location:

Topeka OR Lenexa, KS

Job Id:
2194

# of Openings:
1

Position: E-Communications Compliance Analyst

Department: Wealth Management Compliance

Reporting to: E-Communications Manager

Location: Onsite in Topeka or Lenexa KS

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
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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