Position: Compliance Auditor
Department: Compliance
Reporting to: Compliance Director
Location: Topeka, KS or Lenexa, KS - Onsite
Overview:
Do you have a mind for auditing and testing, an understanding of compliance regulations and enjoy interacting with various teams? If so, our Compliance Auditor position could be a great fit for you!
The Compliance Auditor will support the compliance needs of the organization by enforcing written compliance policies and supervisory procedures. They will conduct audit testing of internal departments and identify reportable issues and dimension of risk. They will interact with all levels of leadership in the organization.
In an ever-changing regulatory environment, we are looking for a self-motivated individual, who embraces change and believes in proactive problem solving.
What you'll do:
- Review written compliance policies and procedures pertaining to insurance, registered investment adviser and broker-dealer standards
- Test business units' compliance to ensure effectiveness of policies and procedures
- Write and present reports on test/audit findings
- Communicate clear and concise findings to business leaders and compliance leadership
- Take on projects related to compliance and be accountable for completion with or without direct oversight
- Collaborate with business partners to update policies and procedures; satisfy any gaps identified during test/audit
- Stay up to date on federal and state statutes/regulations pertaining to the securities industry
- Take a proactive approach to problem solving and aim for regular process improvement
Experience you'll bring:
- Minimum 3-5 years of experience in audit or testing
- Knowledge of FINRA, SEC and various state rules/ regulations
- 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
- Able to work alone or in a team environment
- Ability to handle confidential information
Bonus Points:
- Experience in financial services is preferred but not required such as areas in supervision, compliance and/or regulatory management
- Experience drafting business procedures, documents and/or training development.
- Experience writing internal communications for large audiences
- Interest in obtaining FINRA licenses (e.g. Series 7, Series 24) in the future
What you'll get:
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package upon 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.
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Advisors Excel
401(k)
April 24, 2024