What are the responsibilities and job description for the Compliance Training Analyst position at Advisors Excel?

Position: Compliance Training Analyst

Location:	4113 SW Gage Center Drive
	Topeka, KS

Job Id: 1896

# of Openings: 1

Position: Compliance Training Analyst

Department: AE Wealth Management Compliance

Reporting to: Policy and Training Manager

Location: Lenexa, KS/ Topeka, KS - Onsite

Overview:

In an ever-changing regulatory environment, compliance can emerge as a defining factor for independent advisors. This is precisely why Advisors Excel is actively seeking to onboard a Compliance Training Analyst. In this position, you will work closely with our advisor offices to identify compliance training needs and develop programs/initiatives/training materials to meet those needs. This role will be responsible for the creation, facilitation, and implementation of compliance training programs.

If you have experience in financial services and are passionate about sharing that knowledge and experience with others, our Compliance Training Analyst may be the perfect opportunity for you!

What you'll do:

Create compliance training and communication techniques and strategies for our Registered Investment Advisers (RIAs), RIA staff, RIA Chief Compliance Officers (CCOs), Investment Adviser Representatives (IARs), and IAR staff
Support our CCO in the development of presentation content for webinars, live events, etc.
Create content for compliance training courses by collaborating with AE business partners and subject matter experts
Provide ongoing consultation and remote training for advisors and their staff
Address specific compliance areas with advisor offices through one-on-one training and coaching
Stay up to date on federal and state statutes/regulations pertaining to the securities industry
Manage the process to ensure all training is completed by required individuals
Take on projects related to compliance training and be accountable for completion with or without direct oversight

Experience you'll bring:

Minimum of 3-5 years' experience working in the financial industry (RIA or Broker Dealer)
Knowledge of FINRA, SEC, and various state rules/regulations
Previous experience in training development
Experience writing training communications for large audiences
Presentation and communication skills: ability to deliver presentations and communicate at all levels within our organization or agent's office
Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
Ability to work independently, but also as a collaborative team member
Take a proactive approach to problem solving and aim for regular process improvement
Ability to handle confidential information

Bonus Points:

Securities industry experience in supervision, compliance and/or regulatory management
Series 7 examination preferred or interested in obtaining in the future

What you'll get:

Amazing benefits including medical, dental, vision and 401k (with matching options)
Generous PTO 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 events...and more!

Who We Are:

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.

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