What are the responsibilities and job description for the Compliance Examiner position at Advisors Excel?
| Position: Compliance Examiner | ||||
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| Job Id: 1816 | ||||
| # of Openings: 1 | ||||
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Position: Compliance Examiner
Department: WM Compliance
Location: Topeka, KS or Lenexa, KS or fully remote for qualified candidate
Overview:
We are seeking a highly motivated individual to join our Compliance Examination team. As part of our comprehensive compliance department, this team is responsible for conducting branch audits of registered representatives/investment advisor representatives all over the country, who utilize our Wealth Management and Financial Services platforms. The Examiner will be responsible for conducting thorough audit reviews, identify any compliance issues and work through the remediation process.
What you'll do:
Experience you'll bring:
Bonus Points:
What you'll get:
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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