Advisors Excel
Position: Policy Compliance Analyst
Location: Topeka OR Lenexa, KS
Job Id: 2458
Openings: 1
Title: Policy Compliance Analyst
Department: AE Wealth Management Compliance
Reporting to: Policy and Training Manager
Location: Lenexa, KS or Topeka, KS - Onsite
Overview As a Policy Compliance Analyst at Advisors Excel, you will be an integral part of our Compliance team, responsible for developing and maintaining our organization’s compliance policies and procedures. This role ensures that our firm adheres to evolving regulatory requirements and industry standards, minimizing risk while promoting best practices.
You will work closely with internal departments to assess and improve existing policies, ensuring they align with regulatory and business needs. If you have a passion for compliance, a proactive approach to problem‑solving, and a desire to drive continuous improvement, this role is for you.
What you’ll do
Draft new and update existing written compliance policies and procedures pertaining to registered investment adviser and broker‑dealer standards
Stay up to date on federal and state statutes / regulations pertaining to the securities industry
Take ownership of compliance‑related projects, ensuring timely completion with or without direct supervision
Collaborate with business partners to publish policy and procedure changes
Create and maintain content for required compliance training courses, ensuring accuracy and clarity
Manage the process to ensure all required individuals complete compliance training within set deadlines
Respond to advisor inquiries with a focus on delivering excellent customer service while adhering to ethical and compliance standards
Oversee the creation and content of the monthly compliance newsletter, ensuring timely and relevant updates
Take a proactive approach to identifying opportunities for process improvements and implementing solutions to enhance compliance operations
Experience you’ll bring
2‑4 years of experience in the securities industry, with a background in compliance, and / or regulatory management
Skilled in writing business procedures, policies, documentation, and / or developing training materials
Experience writing internal communications for large audiences
Strong organizational skills; ability to prioritize and work with a high degree of accuracy while handling multiple responsibilities
Confident, professional, and articulate in written and verbal communication; ability to interact with all personality types and with all levels of staff
Proactive and self‑motivated; able to work independently and as a collaborative team member
Demonstrates discretion and professionalism in handling sensitive and confidential information
Bonus Points
Knowledge of FINRA, SEC, and various state rules / regulations
Securities Industry Essentials / SIE 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 from your start date
Access to an on‑site cafe, gym, and even an on‑site primary care
Continuous personal and professional development opportunities
Recognition for hard work & exemplary performance
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.
#J-18808-Ljbffr
Location: Topeka OR Lenexa, KS
Job Id: 2458
Openings: 1
Title: Policy Compliance Analyst
Department: AE Wealth Management Compliance
Reporting to: Policy and Training Manager
Location: Lenexa, KS or Topeka, KS - Onsite
Overview As a Policy Compliance Analyst at Advisors Excel, you will be an integral part of our Compliance team, responsible for developing and maintaining our organization’s compliance policies and procedures. This role ensures that our firm adheres to evolving regulatory requirements and industry standards, minimizing risk while promoting best practices.
You will work closely with internal departments to assess and improve existing policies, ensuring they align with regulatory and business needs. If you have a passion for compliance, a proactive approach to problem‑solving, and a desire to drive continuous improvement, this role is for you.
What you’ll do
Draft new and update existing written compliance policies and procedures pertaining to registered investment adviser and broker‑dealer standards
Stay up to date on federal and state statutes / regulations pertaining to the securities industry
Take ownership of compliance‑related projects, ensuring timely completion with or without direct supervision
Collaborate with business partners to publish policy and procedure changes
Create and maintain content for required compliance training courses, ensuring accuracy and clarity
Manage the process to ensure all required individuals complete compliance training within set deadlines
Respond to advisor inquiries with a focus on delivering excellent customer service while adhering to ethical and compliance standards
Oversee the creation and content of the monthly compliance newsletter, ensuring timely and relevant updates
Take a proactive approach to identifying opportunities for process improvements and implementing solutions to enhance compliance operations
Experience you’ll bring
2‑4 years of experience in the securities industry, with a background in compliance, and / or regulatory management
Skilled in writing business procedures, policies, documentation, and / or developing training materials
Experience writing internal communications for large audiences
Strong organizational skills; ability to prioritize and work with a high degree of accuracy while handling multiple responsibilities
Confident, professional, and articulate in written and verbal communication; ability to interact with all personality types and with all levels of staff
Proactive and self‑motivated; able to work independently and as a collaborative team member
Demonstrates discretion and professionalism in handling sensitive and confidential information
Bonus Points
Knowledge of FINRA, SEC, and various state rules / regulations
Securities Industry Essentials / SIE 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 from your start date
Access to an on‑site cafe, gym, and even an on‑site primary care
Continuous personal and professional development opportunities
Recognition for hard work & exemplary performance
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.
#J-18808-Ljbffr