What are the responsibilities and job description for the Compliance Advertising Analyst position at Advisors Excel?
Position: Compliance Advertising Analyst
Department: AE Wealth Management Compliance
Reporting to: Compliance Advertising Manager
Location: Topeka, KS or Lenexa, KS – Onsite
Overview
Are you someone who enjoys solving problems and building strong client relationships? Do you have an eye for detail while still being able to see the bigger picture? If so, Advisors Excel may have the opportunity for you.
As a Compliance Advertising Analyst, you'll play a critical role in supporting financial advisors by reviewing marketing materials for regulatory compliance. This position goes beyond simply reviewing documents—you'll serve as a trusted resource, providing consultative guidance, helping advisors understand compliance requirements, and working collaboratively to find practical solutions.
You'll also have the opportunity to work with emerging technologies, including AI-powered compliance tools, while supporting a variety of compliance initiatives within a fast-paced and growing organization.
What You'll Do
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.
Department: AE Wealth Management Compliance
Reporting to: Compliance Advertising Manager
Location: Topeka, KS or Lenexa, KS – Onsite
Overview
Are you someone who enjoys solving problems and building strong client relationships? Do you have an eye for detail while still being able to see the bigger picture? If so, Advisors Excel may have the opportunity for you.
As a Compliance Advertising Analyst, you'll play a critical role in supporting financial advisors by reviewing marketing materials for regulatory compliance. This position goes beyond simply reviewing documents—you'll serve as a trusted resource, providing consultative guidance, helping advisors understand compliance requirements, and working collaboratively to find practical solutions.
You'll also have the opportunity to work with emerging technologies, including AI-powered compliance tools, while supporting a variety of compliance initiatives within a fast-paced and growing organization.
What You'll Do
- Conduct comprehensive reviews of advertising communications, promotional materials, sales trainings, and seminar programs to ensure full compliance with state and federal regulations
- Provide clear, professional, and consultative compliance guidance to advisors and their staff through written and verbal communication
- Utilize AI-powered compliance and advertising review tools to improve efficiency, consistency, and accuracy while exercising independent professional judgment
- Support vendor review and due diligence efforts by evaluating third-party vendors identified during the advertising review process, gathering information, assessing potential risks, and determining appropriate next steps
- Collaborate with advisors and their staff to obtain information needed for compliance reviews and vendor evaluations while delivering a high level of client service
- Support outsourced compliance consulting services, including high-volume advertising review activities for advisor offices requiring elevated service and attention
- Maintain accurate records and track project status through internal databases, ensuring reviews and approvals are properly documented
- Stay current on evolving regulations, industry trends, emerging technologies, and compliance requirements
- Support additional compliance initiatives and projects as business needs evolve
- Strong relationship-building and client service skills
- Ability to communicate complex information clearly and professionally
- Ability to learn, understand, and apply compliance requirements and industry regulations
- Demonstrated willingness to learn and adopt new technologies, including AI-powered tools
- Ability to independently research issues, analyze information, and make sound recommendations in situations where processes may not be clearly defined
- Adaptability and flexibility to support multiple areas of compliance as business needs evolve
- Ability to work with urgency while maintaining a high degree of accuracy and attention to detail
- 2 years of experience in the financial services industry
- Experience working directly with financial advisors, investment adviser representatives, or insurance professionals
- Exposure to compliance, regulatory review, marketing review, or related functions
- Amazing benefits, including medical, dental, vision, and 401k (with matching options)
- Generous PTO package upon your start date
- Access to an on-site café, gym, and primary care
- Continuous personal and professional development opportunities
- Employee-sponsored events…and more!
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.