What are the responsibilities and job description for the Supervision Specialist position at Advisors Excel?
Position: Supervision Specialist
Department: Compliance
Reporting to: Compliance Manager
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview
As a Supervision Specialist, you will be responsible for supervising the daily business activities of investment advisor representatives and registered representatives who utilize our Wealth Management and Financial Service platforms. Our diligent supervisory team strives to provide proactive compliance support in a quick and efficient manner to our clients in an ever-changing regulatory environment.
What You’ll Do
- Conduct ongoing review of registered investment advisors’ activities, including but not limited to trading activity; suitability review; fees analysis; outside business activities; checks/securities; correspondence; gift and business entertainment logs, and electronic communications and social media posts
- Identifying suspicious patterns in daily business and swiftly providing a resolution
- Ensure advisors understand policies and procedures through training and coaching
- Work with internal teams to continually refine the supervisory process
- Take a proactive approach to problem-solving and aim for regular process improvement
Experience You’ll Bring
- Conduct ongoing review of registered investment advisors’ and registered representatives’ activities, including but not limited to trading activity; suitability review; fees analysis; outside business activities; checks/securities; correspondence; gift and business entertainment logs, and electronic communications and social media posts
- Identifying suspicious patterns in daily business and swiftly providing a resolution
- Ensure advisors, representatives, and staff understand policies and procedures through training and coaching
- Work with internal teams to continually refine the supervisory process
- Take a proactive approach to problem-solving and aim for regular process improvement
Bonus Points
- FINRA Series 7,24,,66, or 63/65
What You’ll Get
- 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!
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.