What are the responsibilities and job description for the Compliance Associate - Trade Surveillance position at Advisors Excel?
Position: Compliance Associate – Trade Surveillance
Department: Compliance
Reporting to: Compliance Director
Location: Topeka, KS/ Lenexa, KS - Onsite
Overview
As a Compliance Associate at AE Wealth Management (AEWM) and AE Financial Services (AEFS), you’ll support the firm’s compliance and surveillance programs by helping monitor advisor and employee trading activity. This role is a great opportunity to learn how compliance works in a financial services environment while developing strong analytical and investigative skills.
You’ll work closely with experienced Compliance team members to review surveillance alerts, analyze exception reports, and support the Personal Trading Account and Code of Ethics programs. If you’re detail-oriented, curious, and interested in building a foundation in financial services compliance, this role offers hands-on experience and room to grow.
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: Topeka, KS/ Lenexa, KS - Onsite
Overview
As a Compliance Associate at AE Wealth Management (AEWM) and AE Financial Services (AEFS), you’ll support the firm’s compliance and surveillance programs by helping monitor advisor and employee trading activity. This role is a great opportunity to learn how compliance works in a financial services environment while developing strong analytical and investigative skills.
You’ll work closely with experienced Compliance team members to review surveillance alerts, analyze exception reports, and support the Personal Trading Account and Code of Ethics programs. If you’re detail-oriented, curious, and interested in building a foundation in financial services compliance, this role offers hands-on experience and room to grow.
What You’ll Do
- Conduct ongoing surveillance of registered representatives and advisor activity to ensure adherence to firm and regulatory requirements
- Review daily surveillance and exception reports using internal systems and tools
- Support the Personal Trading Account (PTA) and Code of Ethics monitoring programs for employees and advisors
- Analyze trade alerts, identify potential issues, and escalate findings when appropriate
- Examine exception data to identify trends, patterns, and potential risk areas
- Perform targeted reviews based on risk assessments and the annual testing plan
- Track remediation efforts and monitor the progress of action plans
- Respond to management inquiries related to surveillance monitoring and testing activities
- Undertake special compliance projects as assigned
- Demonstrate the ability to learn and apply industry rules and regulatory requirements
- Confident, professional and articulate in written and verbal communication
- Strong fact-finding, analytical and problem-solving skills
- Manage projects independently while collaborating effectively within a team
- Ability to work with a high degree of accuracy in a fast-paced environment
- Interact effectively with all levels of management, associates, advisors, carriers, and vendors
- Handle confidential information with professionalism and discretion
- Advanced data analysis skills using Excel, Alteryx, and/or Power BI
- Securities industry experience
- Series 7, 24, or 66 licenses—or a willingness to obtain licenses
- Bachelor’s degree in Finance, Business, Compliance, or a related field
- 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.