What are the responsibilities and job description for the Supervision Specialist position at Advisors Excel?
Position: Supervision Specialist
Department: AE Wealth Management Compliance
Reporting to: Compliance Manager
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview
As a Supervision Specialist, you will be responsible for supervising daily business activities of investment advisor 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
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 Manager
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview
As a Supervision Specialist, you will be responsible for supervising daily business activities of investment advisor 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 provide a resolution
- Ensure advisors understand policies and procedures through training and coaching
- Work with internal teams to continually refine supervisory process
- Take a proactive approach to problem-solving and aim for regular process improvement
- At least 2 years of financial service experience
- Knowledge of industry rules & regulations
- Confident, professional, and articulate in written and verbal communication
- Ability to lead tough conversations with exceptional problem determination skills
- Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing, ever-changing priorities
- Ability to work with a high degree of accuracy in a fast-paced environment
- Previous experience in compliance or supervision
- Series 7,24, ,66 or 63/65
- 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.
