This listing was posted on WhatJobs.
Position: Due Diligence Compliance Analyst Location: 4113 SW
Location:
Topeka, KS
Description:
Position: Due Diligence Compliance Analyst Location: 4113 SW Gage Center Drive Topeka, KS Job Id: 1847 # of Openings: 1 Position: Due Diligence Compliance Analyst Department: Compliance Reporting to: Senior Compliance Director - AEWM Location: Topeka, KS or Lenexa, KS - Onsite Overview: We are looking for a Compliance Analyst to support our internal Vendor Review Program for our AE Wealth Management and AE Financial Services platforms. In this role you will work closely with various vendors and our IT team to ensure compliance with regulatory requirements. This role is situated in Topeka or Lenexa, Kansas, and it is exclusively an on-site arrangement. Moreover, please note that the company does not extend sponsorship opportunities. If you are self-motivated and enjoy managing projects, we encourage you to apply. What you'll do: Manage the compliance portion of the Advisors Excel Vendor Review Process Coordinate with other business units regarding compliance requirements related to technologies/vendors Collaborate with members of the compliance department regarding compliance requirements related technologies/vendors Assist in drafting of disclosures for interfaces and outputs related to technologies/vendors Document the review process for technologies/vendors Work with IT project manager to ensure clear communication regarding timelines and delivery Collaborate with product owners, developers and other project team participants Take a proactive approach to problem solving and aim for regular process improvement Experience you'll bring: 2-3 years of experience in project management, business analysis and/or process re-engineering Knowledge of FINRA, SEC and various state rules/regulations Knowledge of compliance requirements related to technologies and vendors Must possess strong technical writing and documentation skills Self-motivated; ability to independently manage projects and tasks Ability to work with a high degree of accuracy in a fast-paced environment An aptitude for technology, embraces change and has a strong desire to learn Bonus Points: Experience in financial services is preferred in areas of compliance and/or regulatory management Experience drafting business procedures, documents and/or training development Experience writing internal communications for large audiences 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 physician Continuous personal and professional development opportunities Recognition for hard work & exemplary performance Employee sponsored 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 //below URL is also hard code in "CareerSiteSecurityHeaderFilter.java". (function() {window.IndeedApply||function(f,g){function h(){var a=c.getElementById("indeed-apply-js").attributes("data-indeed-apply-qs"),b="";a&&""!=a.value&&(b="&"+a.value);return("").join("")}var b=window,c=document,d=document.location.href;b.IndeedApply=b.IndeedApply||{};var b=c.body,m=/^https:///.test(d),k;if(!b)return k=arguments.callee,setTimeout(function(){k(f, g)},100);var d=c.createElement("div"),a=c.createElement("iframe"),e;d.style.display="none";b.insertBefore(d,b.firstChild).id="indeed-apply-iframe-holder";a.frameBorder="0";a.id="indeed-apply-iframe";a.allowTransparency="true";d.appendChild(a);try{a.contentWindow.document.open()}catch(n){e="javascript:var d=document.open();d.domain='"+c.domain+"';",a.src=e+"void(0);"}try{var l=a.contentWindow.document;l.write(h());l.close()}catch(p){a.src=e+'d.write("'+h().replace(/"/g,'\"')+'");d.close();'}} ("","");})(); var gnewtonOnIndeedApplyClick = function() { if (!('parentIFrame' in window)) return; var initialHeight, height = initialHeight = height = $nQuery('#gnewtonCareerBody').height(); var interval = setInterval(function() { var el = $nQuery('.indeed-apply-popup'); if (!(':visible')) { clearInterval(interval); $nQuery('#gnewtonCareerBody').height(initialHeight); } else { height = (height, el.offset().top + el.height()); $nQuery('#gnewtonCareerBody').height(height); } }, 100); };
Company:
Advisors Excel
Posted:
January 2 on WhatJobs
Visit Our Partner Website
This listing was posted on another website. Click here to open: Go to WhatJobs
Important Safety Tips
- Always meet the employer in person.
- Avoid sharing sensitive personal and financial information.
- Avoid employment offers that require a deposit or investment.
To learn more, visit the Safety Center or click here to report this listing.
More About this Listing: Position: Due Diligence Compliance Analyst Location: 4113 SW
Position: Due Diligence Compliance Analyst Location: 4113 SW is a Jobs Analyst Job at Advisors Excel located in Topeka KS. Find other listings like Position: Due Diligence Compliance Analyst Location: 4113 SW by searching Oodle for Jobs Analyst Jobs.
Position: Due Diligence Compliance Analyst Location: 4113 SW is a Jobs Analyst Job at Advisors Excel located in Topeka KS. Find other listings like Position: Due Diligence Compliance Analyst Location: 4113 SW by searching Oodle for Jobs Analyst Jobs.