Position: Compliance Analyst - Complaints and Investigations

Department: Compliance

Reporting to: Compliance Manager

Location: Topeka, KS - Onsite

Advisors Excel is seeking a talented and motivated Compliance Analyst specializing in Complaints and Investigations to join our team.

You will play a crucial role in upholding regulatory compliance and ensuring the highest standards of customer service. You will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues. By leveraging your analytical skills and attention to detail, you will contribute to enhancing our organization's reputation and maintaining trust with our clients.

• Conduct thorough investigations, complaints, and quality service reviews by gathering and analyzing relevant documents and circumstances
• Prepare comprehensive letters and memos pertaining to investigations and complaints, ensuring accuracy and clarity in communication
• Maintain records and reports for investigations, complaints, and quality service reviews, adhering to established protocols
• Collaborate closely with internal stakeholders across departments to facilitate the completion of investigations and related tasks
• Efficiently track and manage multiple cases, prioritizing tasks to meet deadlines effectively
• Take ownership of assigned projects, demonstrating accountability for timely completion with or without direct oversight
• Provide prompt and courteous responses to advisor requests, delivering optimal customer service while upholding ethical and compliance standards
• Proactively identify opportunities for process improvement and implement solutions to enhance efficiency and effectiveness

• 2-3 years of financial services industry experience
• Exceptional written communication skills with the ability to convey information accurately and succinctly through factual reporting, ensuring compliance documentation meets regulatory standards
• Strong problem-solving and analytical skills with the ability to interpret complex information and make sound judgments
• Capable of engaging with individuals at all levels of the organization and across diverse personality types, fostering effective collaboration and communication
• Strong organizational skills in managing a demanding workload and navigating competing priorities in a fast-paced environment, while maintaining a focus on achieving key objectives and deadlines
• Proven track record of taking ownership of assigned tasks, demonstrating proactive initiative in identifying areas for improvement, and driving positive change within the compliance department

• Relevant experience in audit, regulatory, risk or compliance environment
• Interest in obtaining FINRA licenses (e.g. Series 7, Series 24)
• Bachelor's degree in Business Administration, Finance, Legal Studies, or a related field

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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