Regulatory Compliance Specialist

2 weeks ago


Topeka, Kansas, United States Advisors Excel Full time

Position:
Regulatory Compliance Specialist

Location:
Topeka OR Lenexa, KS

Job Id:
2025

# of Openings:

1

Department:
Compliance

Reporting to:
Compliance Manager & Regulatory Counsel

Overview:


As a Regulatory Compliance Specialist, you will be essential in our Vendor Evaluation Program, ensuring that our vendors' capabilities are in accordance with our compliance standards.

Your collaboration with vendors and our IT department will be crucial in identifying potential risks and delivering vital data analysis to senior management.

Your contribution will be key in upholding the integrity and efficiency of our compliance operations.

If you are a meticulous professional with a strong interest in compliance and data analysis, we would be eager to connect with you.

Key Responsibilities:
Manage the compliance elements of the Vendor Evaluation Process for AE Wealth and AE Financial Services.

Work in partnership with various business units and compliance team members to address compliance needs related to technologies and vendors.

Assist in creating disclosures for platforms and outputs associated with technologies and vendors.

Document the firm's review process for technologies and vendors.

Maintain ongoing communication with project managers to ensure alignment on timelines and deliverables.

Collaborate closely with product owners, developers, and other project team members to ensure cohesive teamwork.

Collect, analyze, and prepare data to produce comprehensive business reports for senior management, highlighting significant business trends.

Influence and educate colleagues on compliance policies and requirements.

Adopt a proactive approach to identify and resolve issues, aiming for continuous enhancement in processes.

Perform other related duties as assigned by management.

Qualifications:
2-3 years of experience in project management, business analysis, or process improvement.

Proficiency in data and metric reporting.

Strong understanding of compliance requirements related to technologies and vendors.

Aptitude for technology, embracing change, and a desire to learn.

Excellent technical writing and documentation skills.

Strong written and verbal communication skills, capable of translating technical terms for business partners with limited technical knowledge.

Ability to independently manage projects and tasks with minimal supervision.

Strong organizational skills, with the ability to manage a heavy workload and navigate competing priorities.

High degree of accuracy in a fast-paced environment.

Proficiency in Microsoft Excel.

Preferred Qualifications:
Background in financial services is preferred, particularly in compliance and/or regulatory management.

Familiarity with FINRA, SEC, and various state regulations.

Proven ability in drafting business procedures, documents, and/or developing training materials.

Skill in writing internal communications for large audiences.

Proficiency in Microsoft Access or other database management systems.

Experience in Smartsheet or similar project management platforms.

Benefits:
Comprehensive benefits including medical, dental, vision, and 401k (with matching options).

Generous paid time off 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 initiatives.

About Us:


Advisors Excel is a dynamic, innovative company dedicated to supporting independent financial advisors across various aspects of their business.

Our mission is to facilitate the growth of advisors' businesses nationwide. We are committed to their success, as well as the success of our employees. We have high expectations for our team members to continually advance our business. We seek positive individuals who thrive on hard work and collaboration. If this resonates with you, we would be excited to have you join our team.

Advisors Excel is an Equal Employment Opportunity Employer.

We embrace diversity and inclusivity, ensuring our employees feel comfortable bringing their authentic selves to work every day.

#LI-MS1

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