Advisors Excel
Compliance Advertising Analyst
Advisors Excel, Lenexa, Kansas, United States,
Position:Compliance Advertising Analyst
Location:
Topeka OR Lenexa, KS
Job Id:2019
# of Openings:1
Position: Compliance Advertising AnalystDepartment: ComplianceReporting to: Compliance DirectorLocation: Topeka, KS or Lenexa, KS - Onsite
Overview:Advisors Excel is constantly on the lookout for experienced and knowledgeable Compliance Advertising professionals to join our team. This job posting is thoughtfully designed to provide an ongoing opportunity for exceptional individuals with specific skills to express their interest, even when positions aren't readily available. But how does this process work, you might wonder?
This job posting is under continuous monitoring, and our dedicated recruitment team will promptly reach out to qualified candidates when we are actively hiring for a relevant opening. Rest assured, your application will be securely stored for a duration of 90 days or until you are selected for an available position, whichever comes first. We strongly encourage you to take the initiative and apply today to ensure that your application is saved and ready for review when new and pertinent opportunities arise!
What you'll do:Thoroughly review and analyze advertising communications, promotional materials, consumer-oriented marketing materials, sales trainings, and seminar programs to ensure compliance with state and federal laws and regulations
Evaluate marketing materials with a discerning eye, considering potential risks and ensuring alignment with regulatory standards
Effectively communicate any necessary compliance revisions and provide constructive feedback to advisors and their office staff via email and phone communication
Seek to understand the advisor sales process and assist in the development of marketing collateral and programs to aid in overall effectiveness
Assist with IAR supervision and onboarding
Communicate pertinent compliance and project-related information to internal teams
Efficiently convey information through the internal database/tracking system for marketing materials to illustrate the completion status of projects and provide updates on outstanding projects
Understand and stay updated on relevant industry regulations, guidelines, and compliance requirements
Experience you'll bring:
Two or more years' experience working in the financial services industry, specifically the securities industryExperience with reviewing and editing diverse marketing materials; or have held positions demanding a high level of attention to detail in a fast-paced environmentStrong problem-solving and researching skillsExceptional relationship-building skills and ability to navigate sensitive conversationsConfident, professional and articulate written and verbal communication skillsSelf-motivated; ability to independently manage projects and tasksStrong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever changing prioritiesAbility to work with a high degree of accuracy in a fast-paced environmentAbility to gain knowledge and understanding of compliance requirements and regulations
Bonus Points:
Knowledge of FINRA, SEC and various state rules/regulationsSeries 65 or interested in obtaining in the futureBachelor'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 dateAccess to an on-site cafe, gym and primary careContinuous personal and professional development opportunitiesEmployee 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.
#LI-MS1
Apply for this Position
Location:
Topeka OR Lenexa, KS
Job Id:2019
# of Openings:1
Position: Compliance Advertising AnalystDepartment: ComplianceReporting to: Compliance DirectorLocation: Topeka, KS or Lenexa, KS - Onsite
Overview:Advisors Excel is constantly on the lookout for experienced and knowledgeable Compliance Advertising professionals to join our team. This job posting is thoughtfully designed to provide an ongoing opportunity for exceptional individuals with specific skills to express their interest, even when positions aren't readily available. But how does this process work, you might wonder?
This job posting is under continuous monitoring, and our dedicated recruitment team will promptly reach out to qualified candidates when we are actively hiring for a relevant opening. Rest assured, your application will be securely stored for a duration of 90 days or until you are selected for an available position, whichever comes first. We strongly encourage you to take the initiative and apply today to ensure that your application is saved and ready for review when new and pertinent opportunities arise!
What you'll do:Thoroughly review and analyze advertising communications, promotional materials, consumer-oriented marketing materials, sales trainings, and seminar programs to ensure compliance with state and federal laws and regulations
Evaluate marketing materials with a discerning eye, considering potential risks and ensuring alignment with regulatory standards
Effectively communicate any necessary compliance revisions and provide constructive feedback to advisors and their office staff via email and phone communication
Seek to understand the advisor sales process and assist in the development of marketing collateral and programs to aid in overall effectiveness
Assist with IAR supervision and onboarding
Communicate pertinent compliance and project-related information to internal teams
Efficiently convey information through the internal database/tracking system for marketing materials to illustrate the completion status of projects and provide updates on outstanding projects
Understand and stay updated on relevant industry regulations, guidelines, and compliance requirements
Experience you'll bring:
Two or more years' experience working in the financial services industry, specifically the securities industryExperience with reviewing and editing diverse marketing materials; or have held positions demanding a high level of attention to detail in a fast-paced environmentStrong problem-solving and researching skillsExceptional relationship-building skills and ability to navigate sensitive conversationsConfident, professional and articulate written and verbal communication skillsSelf-motivated; ability to independently manage projects and tasksStrong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever changing prioritiesAbility to work with a high degree of accuracy in a fast-paced environmentAbility to gain knowledge and understanding of compliance requirements and regulations
Bonus Points:
Knowledge of FINRA, SEC and various state rules/regulationsSeries 65 or interested in obtaining in the futureBachelor'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 dateAccess to an on-site cafe, gym and primary careContinuous personal and professional development opportunitiesEmployee 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.
#LI-MS1
Apply for this Position