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Advisors Excel · 3 days ago

Compliance Examiner

Topeka, KS

Full-time

Hybrid

Entry, Mid Level

2+ years exp

Advisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. They are seeking a Compliance Examiner to conduct thorough audits, identify compliance issues, and work through the remediation process. The role involves leading examinations, creating reports, and collaborating with various teams to ensure compliance with regulatory requirements.

ConsultingFinancial ServicesMarketing

Growth Opportunities

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

Compliance examinationSEC/FINRAIndustry exams Series 7Industry exams 24Industry exams 66Audit experienceTechnical supervisory systemsOrganizational skillsCommunication skillsDetail-oriented

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) + If the candidate does not have a series of licenses, they will be required to begin obtaining licenses within 6 months of start date

Experience with technical supervisory systems (Orion, ProSurv, Smarsh, and RegEd)