Compliance Advertising Specialist

4 days ago


Lenexa, Kansas, United States Advisors Excel Full time
Job Title: Compliance Advertising Analyst

At Advisors Excel, we are seeking a highly skilled Compliance Advertising Analyst to join our team. As a key member of our Compliance department, you will play a critical role in ensuring that all advertising and promotional materials meet regulatory requirements.

Key Responsibilities:
  • Conduct comprehensive reviews and analysis of advertising communications, promotional materials, consumer marketing content, sales trainings, and seminar programs to ensure full compliance with state and federal regulations.
  • Assess marketing materials critically, identifying potential risks while ensuring alignment with industry regulations and best practices.
  • Provide clear and constructive compliance-related feedback to advisors and their staff, communicating necessary revisions via email and phone in a professional and timely manner.
  • Gain an understanding of the advisor sales process to assist in the creation and development of marketing collateral and programs that enhance overall effectiveness and adherence to compliance standards.
  • Support Investment Adviser Representative (IAR) supervision and onboarding processes to ensure compliance from the start of each engagement.
  • Share key compliance updates and project-related information with internal teams to ensure alignment and a smooth review process.
  • Maintain accurate records and track project status through internal databases, clearly documenting the progress and completion of marketing material reviews.
  • Stay current on evolving industry regulations, guidelines, and compliance requirements to ensure ongoing adherence and provide expert guidance to internal and external stakeholders.
Requirements:
  • Two or more years' experience working in the financial services industry, specifically the securities industry.
  • Ability to learn, understand, and apply compliance requirements and industry regulations.
  • 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.
  • Strong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever-changing priorities.
What We Offer:
  • Amazing benefits including medical, dental, vision, and 401(k) (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.
About Us:

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.



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