Advisors Excel · 5 hours ago
Compliance Examiner
Topeka, KS
Full-time
Hybrid
Entry, Mid Level
2+ years expAdvisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. The Compliance Examiner will conduct branch audits, identify compliance issues, and work through the remediation process while collaborating with various teams to ensure adherence to regulatory requirements.
ConsultingFinancial ServicesMarketing
No H1B
Responsibilities
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
Qualification
Required
At least 2 years of financial service Industry experience
Confident, professional, and articulate in written and verbal communication; experience conducting meetings and presentations
Strong organizational skills: capacity to manage a heavy workload while navigating a variety of competing, ever-changing priorities
Detail-oriented; able to work with a high degree of accuracy in a fast-paced environment
Ability to travel (30% - 50%)
Preferred
Experience in supervision, compliance, and/or regulatory management
Experience conducting exams or audits
Knowledge of SEC/FINRA, and various state rules and regulations
Industry exams: Series 7, Series 24, and Series 66 (or 63/65)
Experience with technical supervisory systems (Orion, ProSurv, Smarsh, and RegEd)
Benefits
Medical
Dental
Vision
401k (with matching options)
Generous PTO package from your start date
Access to an on-site café, gym, and primary care
Continuous personal and professional development opportunities
Recognition for hard work & exemplary performance
Employee-sponsored events…and more!
Company
Advisors Excel
Advisors Excel is a financial services company offering retirement income strategies and financial advisory services.
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2011-01-01Private Equity
Leadership Team
Greg Burton
Chief of Staff to CEO
Ryan Fickel
Chief Technology Officer & Chief Information Security Officer
Recent News
2025-08-22
2025-03-04
Company data provided by crunchbase