Compliance Advertising Analyst

2 weeks ago

Topeka, United States Advisors Excel Full time
Position: Compliance Advertising Analyst Location: 4113 SW Gage Center Drive Topeka, KS Job Id: 2019 # of Openings: 1 Position: Compliance Advertising Analyst Department: Compliance Reporting to: Compliance Director Location: Topeka, KS or Lenexa, KS - Onsite Overview: Advisors Excel is constantly on the lookout for experienced and knowledgeable Compliance Advertising professionals to join our team. This job posting is thoughtfully designed to provide an ongoing opportunity for exceptional individuals with specific skills to express their interest, even when positions aren't readily available. But how does this process work, you might wonder? This job posting is under continuous monitoring, and our dedicated recruitment team will promptly reach out to qualified candidates when we are actively hiring for a relevant opening. Rest assured, your application will be securely stored for a duration of 90 days or until you are selected for an available position, whichever comes first. We strongly encourage you to take the initiative and apply today to ensure that your application is saved and ready for review when new and pertinent opportunities arise What you'll do:
  • Thoroughly review and analyze advertising communications, promotional materials, consumer-oriented marketing materials, sales trainings, and seminar programs to ensure compliance with state and federal laws and regulations
  • Evaluate marketing materials with a discerning eye, considering potential risks and ensuring alignment with regulatory standards
  • Effectively communicate any necessary compliance revisions and provide constructive feedback to advisors and their office staff via email and phone communication
  • Seek to understand the advisor sales process and assist in the development of marketing collateral and programs to aid in overall effectiveness
  • Assist with IAR supervision and onboarding
  • Communicate pertinent compliance and project-related information to internal teams
  • Efficiently convey information through the internal database/tracking system for marketing materials to illustrate the completion status of projects and provide updates on outstanding projects
  • Understand and stay updated on relevant industry regulations, guidelines, and compliance requirements
Experience you'll bring:
  • Two or more years' experience working in the financial services industry, specifically the securities industry
  • Experience with reviewing and editing diverse marketing materials; or have held positions demanding a high level of attention to detail in a fast-paced environment
  • Strong problem-solving and researching skills
  • Exceptional relationship-building skills and ability to navigate sensitive conversations
  • Confident, professional and articulate written and verbal communication skills
  • Self-motivated; ability to independently manage projects and tasks
  • Strong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
  • Ability to work with a high degree of accuracy in a fast-paced environment
  • Ability to gain knowledge and understanding of compliance requirements and regulations
Bonus Points:
  • Knowledge of FINRA, SEC and various state rules/regulations
  • Series 65 or interested in obtaining in the future
  • Bachelor's degree in related field
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
  • 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. #LI-MS1
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