What are the responsibilities and job description for the Compliance Analyst – Complaints & Regulatory Affairs position at Advisors Excel?
Position: Compliance Analyst - Complaints & Regulatory Affairs
Department: Compliance
Reporting to: Compliance Director
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview
The Compliance Analyst plays a key role in maintaining Advisors Excel's regulatory standing by investigating/reviewing complaints, supporting regulatory exam readiness, and assisting with regulatory inquiries alongside the Compliance Director and Regulatory Counsel. This position requires strong attention to detail, sound judgment, and the ability to manage sensitive matters with discretion.
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: Compliance
Reporting to: Compliance Director
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview
The Compliance Analyst plays a key role in maintaining Advisors Excel's regulatory standing by investigating/reviewing complaints, supporting regulatory exam readiness, and assisting with regulatory inquiries alongside the Compliance Director and Regulatory Counsel. This position requires strong attention to detail, sound judgment, and the ability to manage sensitive matters with discretion.
What You’ll Do
- Investigate complaints thoroughly - When a complaint comes in, you'll dig into what happened, gather the relevant documents and details, and work through the facts carefully to reach a fair and well-supported resolution.
- Communicate findings clearly - You'll write letters and memos that summarize your investigation and explain the outcome, making sure everything is accurate, professional, and easy to understand.
- Handle required regulatory filings - Some complaints need to be reported to FINRA. You'll know how to spot those situations and prepare the necessary filings correctly and on time.
- Help the team get exam-ready - Regulatory exams come with tight deadlines and many moving parts. You'll help track down, organize, and prepare the documentation needed so the team is ready to go.
- Support regulatory inquiries - Beyond complaints and exams, you'll assist our Compliance Director and Regulatory Counsel with other regulatory questions and requests as they come up.
- Keep organized records - You'll maintain clean, audit-ready files for closed cases, so anything can be pulled up quickly if it's ever needed again.
- Be a resource for your teammates - When someone on the team runs into a tricky complaint situation, you'll be someone they can turn to for guidance and a second set of eyes.
- Work across departments - You'll partner with other teams as needed to gather information or coordinate investigations that touch more than one area of the business.
- 3 years of experience in financial services
- Active FINRA Series 7 license
- Background in compliance, audit, risk, or regulatory work — whether at a broker-dealer/RIA or with a regulator like FINRA & SEC
- Strong knowledge of broker-dealer and investment advisor regulations
- Sharp writing skills - you can explain complex findings clearly and accurately
- Strong analytical and problem-solving instincts
- Comfortable managing a full plate of priorities in a fast-paced environment
- A self-starter who takes ownership and knows when to ask for help
- Bachelor's degree in business, finance, legal studies, or a related field
- Active FINRA Series 24 license
- Experience with FINRA Rule 4530 disclosures
- Experience supporting regulatory exam preparation
- Amazing benefits, including medical, dental, vision, and 401k (with matching options)
- Generous PTO package from your start date
- Access to an on-site café, gym, and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
- 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.