Compliance Specialist

5 days ago


Lenexa, Kansas, United States Advisors Excel Full time
Job Title: E-Communications Compliance Analyst

Are you a detail-oriented professional looking for a challenging role in compliance? We are seeking a skilled E-Communications Compliance Analyst to join our team at Advisors Excel.

Job Summary:

The E-Communications Compliance Analyst will be responsible for managing and testing electronic communication tools to ensure compliance with regulatory requirements. This role will involve working closely with advisors and office staff to ensure accurate archiving of communications and troubleshooting issues with tools and archive systems.

Key Responsibilities:
  • Manage and test electronic communication tools to track advisors' business communications
  • Onboard new advisors and offices with electronic communications tools
  • Offboard advisors and offices to ensure all tracking has been turned off
  • Communicate regularly with advisors and office staff to ensure information is archiving accurately
  • Troubleshoot and problem solve on various issues that arise with tools and archive systems
  • Manage projects related to compliance tools
  • Build and maintain relationships with vendors
Requirements:
  • Previous experience in the financial services industry
  • Strong organizational skills and ability to prioritize tasks
  • Confident and professional communication skills
  • Ability to work independently and as part of a team
  • Proactive problem-solving skills and analytical thinking
What We Offer:
  • Competitive salary and benefits package
  • Opportunities for professional growth and development
  • Collaborative and dynamic work environment

Advisors Excel is an Equal Employment Opportunity Employer. We welcome applications from diverse candidates and are committed to creating an inclusive workplace.



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