Position: Compliance Advertising Analyst
Department: AE Wealth Management Compliance
Reporting to: Compliance Director
Location: Topeka, KS or Lenexa, KS - Onsite
Overview:
As an Advertising Review Analyst on the Compliance team at Advisors Excel, you will play a critical role in ensuring that all advertising and promotional materials meet regulatory requirements. You will provide high-level support to both internal teams and external partners, including insurance producers and investment advisors, guiding them through the advertising approval process.
We are looking for candidates with financial services knowledge who are detail-orientated, flexible, quick on their feet and excited about problem solving.
What you'll do:
Conduct comprehensive reviews and analysis of advertising communications, promotional materials, consumer marketing content, sales trainings, and seminar programs to ensure full compliance with state and federal regulations
Assess marketing materials critically, identifying potential risks while ensuring alignment with industry regulations and best practices
Provide clear and constructive compliance-related feedback to advisors and their staff, communicating necessary revisions via email and phone in a professional and timely manner
Gain an understanding of the advisor sales process to assist in the creation and development of marketing collateral and programs that enhance overall effectiveness and adherence to compliance standards
Support Investment Adviser Representative (IAR) supervision and onboarding processes to ensure compliance from the start of each engagement
Share key compliance updates and project-related information with internal teams to ensure alignment and a smooth review process
Maintain accurate records and track project status through internal databases, clearly documenting the progress and completion of marketing material reviews
Stay current on evolving industry regulations, guidelines, and compliance requirements to ensure ongoing adherence and provide expert guidance to internal and external stakeholders
Experience you'll bring:
- Two or more years' experience working in the financial services industry, specifically the securities industry
- Ability to learn, understand, and apply compliance requirements and industry regulations
- Experience with reviewing and editing diverse marketing materials; or have held positions demanding a high level of attention to detail in a fast-paced environment
- Strong problem-solving and researching skills
- Exceptional relationship-building skills and ability to navigate sensitive conversations
- Confident, professional and articulate written and verbal communication 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:
- Knowledge of FINRA, SEC and various state rules/regulations
- Series 65 or interested in obtaining in the future
- Bachelor's degree in related field
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
- 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)
Nov 12, 2024 