Supervision Principal

Advisors Excel

United States, Kansas, Topeka

4125 Southwest Gage Center Drive (Show on map)

November 16, 2022

Position:
Supervision Principal

Location:	4125 SW Gage Center Drive
	Topeka, KS

Job Id:
1312

# of Openings:
1

Position: Supervision Principal

Department: AE Wealth Management Operations

Reporting to: Supervision Manager

Overview:

As a Supervision Principal, you will be responsible for supervising daily business activities of registered representatives and advisors 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 everchanging regulatory environment.

What you'll do:

Conduct ongoing review of registered representatives and advisor activities, including but not limited to trading activity, models, fees, products; email review; complaints; outside business activities; brokerage accounts; checks/securities; correspondence; gift logs
Identifying suspicious patterns in daily business and swiftly provide resolution
Ensure registered representatives and advisors understand policies and procedures through training and coaching
Work with compliance team 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 industry experience in a compliance or supervision role
Series 7 and 24 required
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 pace environment

Bonus Points:

66 or 63/65
Bachelor's Degree in related field

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 physician
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.

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