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Compliance Auditor

2 months ago

Lenexa, United States Advisors Excel Full time

Position: Compliance Auditor

Location:

8801 Renner Avenue

Lenexa, KS

Job Id: 1930

# of Openings: 1

Position: Compliance Auditor Department: Compliance Reporting to: Compliance Manager Location: Topeka, KS or Lenexa, KS or fully remote for qualified candidates

Overview: Do you have a mind for auditing and testing, an understanding of compliance regulations and enjoy interacting with various teams? If so, our Compliance Auditor position could be a great fit for you

The Compliance Auditor will support the compliance needs of the organization by enforcing written compliance policies and supervisory procedures. They will conduct audit testing of internal departments and identify reportable issues and dimension of risk. They will interact with all levels of leadership in the organization.

In an ever-changing regulatory environment, we are looking for a self-motivated individual, who embraces change and believes in proactive problem solving.

What you'll do:

Review written compliance policies and procedures pertaining to insurance, registered investment adviser and broker-dealer standards

Test business units' compliance to ensure effectiveness of policies and procedures

Write and present reports on test/audit findings

Communicate clear and concise findings to business leaders and compliance leadership

Take on projects related to compliance and be accountable for completion with or without direct oversight

Collaborate with business partners to update policies and procedures; satisfy any gaps identified during test/audit

Stay up to date on federal and state statutes/regulations pertaining to the securities industry

Take a proactive approach to problem solving and aim for regular process improvement

Experience you'll bring:

Minimum 3-5 years of experience in audit or testing

Experience in financial services such as areas in supervision, compliance and/or regulatory management

Knowledge of FINRA, SEC and various state rules/ regulations

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 interact with all personality types and with all levels of staff

Able to work alone or in a team environment

Ability to handle confidential information

Bonus Points:

FINRA licenses Series 7, Series 24 are preferred

Experience drafting business procedures, documents and/or training development

Experience writing internal communications for large audiences

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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