Advisors Excel
Position:
Supervision Specialist
Location:
Topeka OR Lenexa, KS
Job Id:
2421
# of Openings:
1
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:
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
Experience you'll bring:
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
Bonus Points:
Previous experience in compliance or supervision
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 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.
#LI-RH1
Apply for this Position
Supervision Specialist
Location:
Topeka OR Lenexa, KS
Job Id:
2421
# of Openings:
1
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:
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
Experience you'll bring:
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
Bonus Points:
Previous experience in compliance or supervision
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 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.
#LI-RH1
Apply for this Position