Compliance Advertising Specialist

4 weeks ago


Lenexa, Kansas, United States Advisors Excel Full time
Job Summary:

We are seeking a detail-oriented Compliance Advertising Analyst to join our team at Advisors Excel. As a key member of our Compliance team, 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 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.
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. 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.

  • Lenexa, Kansas, United States Advisors Excel Full time

    Job Summary:As a Compliance Advertising Analyst at Advisors Excel, you will play a critical role in ensuring that all advertising and promotional materials meet regulatory requirements. This position requires a detail-oriented individual with financial services knowledge who can provide high-level support to internal teams and external partners.Key...


  • Lenexa, Kansas, United States Wrasper CPA PA Full time

    Job DescriptionWe are seeking an experienced tax professional to prepare and review tax returns for individuals and businesses at Wrasper CPA PA.Our firm offers flexible hours and a casual atmosphere in professional offices.Key responsibilities include:Preparing and reviewing tax returns for individuals and businessesEnsuring compliance with tax laws and...

  • Marketing Manager

    4 weeks ago


    Lenexa, Kansas, United States Splintek Inc Full time

    About the RoleSplintek Inc is seeking a highly skilled Marketing Manager to join our team. As a Marketing Manager, you will be responsible for supporting the operations of the Marketing Department, including media campaigns, promotions, and projects. You will also be responsible for arranging and coordinating special events, projects, and mailings, as well...


  • Lenexa, Kansas, United States Kelly Services, Inc. Full time

    Facilities Operations SpecialistWe are seeking a skilled Facilities Operations Specialist to join our team at Kelly Services, Inc. In this role, you will be responsible for maintaining a clean and safe work environment, ensuring compliance with regulatory requirements, and providing exceptional customer service.Key Responsibilities:Garments: Gather,...


  • Lenexa, Kansas, United States Quest Diagnostics Full time

    Job SummaryWe are seeking a highly skilled Problem Resolution Specialist to join our team at Quest Diagnostics. In this role, you will be responsible for conducting audits of all Specimen Processing processes to ensure the department maintains high standards in quality and compliance.The ideal candidate will have a strong understanding of laboratory...


  • Lenexa, Kansas, United States ICON Clinical Research Full time

    Job SummaryAs a Pharmacy Technician Specialist at ICON Clinical Research, you will play a vital role in supporting the preparation and distribution of investigational medicinal products for clinical studies. Your primary responsibilities will include compiling and processing IMP orders, organizing and labeling investigational medicinal products, and ensuring...


  • Lenexa, Kansas, United States YoungWilliams PC Full time

    Job SummaryThe Training and Development Specialist will design and deliver training programs for employees of the Mississippi project. This role will also be responsible for creating training materials for new and existing project staff, ensuring compliance with contractual requirements and state and federal policies.Key ResponsibilitiesDevelop and implement...


  • Lenexa, Kansas, United States ICON plc Full time

    Pharmacy Technician SpecialistAbout ICON plcICON plc is a leading global provider of outsourced development and commercialization services to the pharmaceutical, biotechnology, and medical device industries. We foster a culture of innovation, collaboration, and excellence, driving meaningful improvements in patient outcomes and quality of life.Estimated...


  • Lenexa, Kansas, United States FTI Full time

    Unlock Your Potential with FTIAt FTI, we're committed to empowering our employees to grow and succeed in their careers. As an Electrical Training Specialist, you'll play a critical role in delivering high-quality training and development programs that drive business results.Key Responsibilities:Design and develop technical training programs that meet the...


  • Lenexa, Kansas, United States KGPCo Full time

    Overview of the RoleKGPCo, a leading provider of network solutions and services to Communications Service Providers, seeks a skilled Senior Proposal Development Specialist to join its team.The successful candidate will be responsible for managing and developing customer quotes for new and existing business cases, adhering to established financial guidelines....


  • Lenexa, Kansas, United States BSE Structural Engineers, LLC Full time

    Company OverviewBSE Structural Engineers, LLC is a structural engineering consulting firm committed to delivering exceptional services to the commercial construction community nationwide. We value a collaborative and supportive work environment where creativity and excellence thrive.Position OverviewWe are seeking an experienced Marketing Manager to drive...

  • Benefits Coordinator

    3 weeks ago


    Lenexa, Kansas, United States Hallcon Full time

    Benefits Specialist Job SummaryHallcon, a leading mobility and infrastructure services company, is seeking an experienced Benefits Specialist to join our HR team. As a Benefits Specialist, you will be responsible for managing and enhancing employee benefits programs, ensuring they meet the needs of our diverse workforce while complying with legal...


  • Lenexa, Kansas, United States ICON plc Full time

    Clinical Research Nurse Specialist**About ICON plc**At ICON plc, we're a world-leading healthcare intelligence and clinical research organization. Our mission is to shape the future of clinical development, and we welcome talented professionals to join our diverse and dynamic team.**Job Summary**We're seeking a Clinical Research Nurse Specialist to support...


  • Lenexa, Kansas, United States BSE Structural Engineers, LLC Full time

    About the RoleBSE Structural Engineers, LLC is seeking a skilled Marketing Manager to develop and implement marketing initiatives, manage communication strategies, and create engaging content across various media channels. This role will help drive the growth and visibility of our company.Key ResponsibilitiesCollaborate with the Director of Marketing to...

  • Nurse Care Specialist

    4 weeks ago


    Lenexa, Kansas, United States Homestead of Lenexa Full time

    Job SummaryThe Nurse Care Specialist at Homestead of Lenexa is responsible for providing direct nursing care to residents and supervising the day-to-day nursing activities performed by nursing assistants. This role requires adherence to current federal, state, and local standards, guidelines, and regulations that govern our Community.Duties and...


  • Lenexa, Kansas, United States KGPCo Full time

    OverviewKGPCo is a leading provider of network solutions and services to Communications Service Providers. Our customers rely on our expertise to help them build, maintain, and transform networks that connect the world.The communications industry is constantly evolving, and we are at the forefront of these innovations. From ground to cloud, our work is...


  • Lenexa, Kansas, United States Hanesbrands Inc. Full time

    Job Title: Logistics and Customs ManagerThis role is responsible for managing the global logistics and customs operations to ensure a flexible, innovative, and regulatory compliant supply chain.Key Responsibilities:Manage the efficient, timely, and cost-effective global movement of products and services.Drive corporate logistics initiatives to reduce...


  • Lenexa, Kansas, United States Nazdar SourceOne Full time

    This role is responsible for driving process improvement initiatives across the Manufacturing Team at Nazdar SourceOne. The successful candidate will utilize Lean Manufacturing principles, problem-solving techniques, and capital improvements to drive Continuous Improvement (CI) in the processing and packaging areas.The Process Engineer will work closely with...


  • Lenexa, Kansas, United States Ceva Santé Animale Full time

    Job Summary:Ceva Santé Animale is seeking a skilled Facilities Technician to join our team. As a Facilities Technician, you will be responsible for maintaining a clean and safe work environment, ensuring compliance with regulatory requirements, and providing excellent customer service.Key Responsibilities:General Housekeeping: Maintain a clean and organized...


  • Lenexa, Kansas, United States The University of Kansas Health System Full time

    Job SummaryThe University of Kansas Health System is seeking a skilled Provider Enrollment Specialist to join our team. As a key member of our enrollment team, you will be responsible for enrolling and validating healthcare providers with government and commercial payers. This role requires strong organizational and communication skills, as well as the...