Surveillance Compliance Intern jobs in United States
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Advisors Excel · 1 day ago

Surveillance Compliance Intern

positionTopeka Metropolitan Area
timeInternship
remoteOnsite
seniorityIntern

Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. In this dynamic role, you’ll support compliance efforts by managing data to monitor the activities of advisors and registered representatives, and you will be responsible for auditing data feeds and resolving data errors.

ConsultingFinancial ServicesMarketing
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Growth Opportunities
Hiring Manager
Cristian Muñoz
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Responsibilities

Manage and troubleshoot data errors and updates to keep our surveillance system running smoothly
Assist with maintaining active data feeds for personal trading accounts
Support audits of the surveillance systems files
Take charge of compliance projects like a boss! We need someone who can drive these initiatives independently
Support other compliance teams as assigned. Collaboration is key, and we’re all about teamwork!

Qualification

Data managementCompliance knowledgeProblem-solvingAttention to detailCommunication skills

Required

Self-starter and have interest in compliance and data management
Ability to work independently and take ownership of projects
Exceptional problem determination skills with a high attention to detail
Ability to gain knowledge and understanding of compliance requirements and regulations
Confident, professional and articulate written and verbal communication skills

Preferred

Completed coursework in corporate compliance, business transactions, or other related topics
Pursuing a degree in Data Analytics, Business Administration, Finance or related field

Benefits

Access to an on-site café and gym
Continuous personal and professional development opportunities
Recognition for hard work & exemplary performance
Employee sponsored events…and more!

Company

Advisors Excel

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Advisors Excel is a financial services company offering retirement income strategies and financial advisory services.
dateFounded in 2005
location
Topeka, Kansas, USA
people-size501-1000 employees
web-link
http://advisorsexcel.com

Funding

Current Stage
Late Stage
Total Funding
unknown
2011-01-01Private Equity

Leadership Team

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Greg Burton
Chief of Staff to CEO
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Ryan Fickel
Chief Technology Officer & Chief Information Security Officer
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Recent News

Morningstar.com
Westaim Reports Q2 2025 Results for the Quarter Ended June 30, 2025
2025-08-22
PR Newswire
Somerset Wealth Strategies Achieves Advisors Excel's Hall of Fame Award for Exceptional Excellence
2025-03-11
PR Newswire
Advisors Excel Promotes David Franzke to Chief Marketing Officer
2025-03-04
Company data provided by crunchbase