Compliance Specialist II – Complaints and Investigations

Position: Compliance Specialist II – Complaints and Investigations Department: AE Wealth Management Compliance Reporting to: Compliance Director - Investigations Location: Topeka, KS/ Lenexa, KS – or fully remote for qualified candidates Overview: Advisors Excel is seeking an experienced and motivated Compliance Specialist II specializing in Complaints and Investigations to join our compliance team. In this advanced role, you will play a pivotal role in upholding regulatory standards and driving process improvement across our organization. You will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues. By leveraging your analytical expertise, attention to detail, and industry experience, you will deliver effective solutions that enhance our reputation, ensure regulatory compliance, and maintain trust with our clients and partners. Please note the company does not extend sponsorship opportunities at this time. What you’ll do:

• Perform complex investigations, complaints, and quality service reviews by gathering and analyzing relevant documents and circumstances
• Assist the Compliance Manager with training team members
• 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

Experience you’ll bring:

• 3-5 years of financial services industry experience
• Active Series 7 license required
• 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

Bonus Points:

• Bachelor’s degree in business administration, Finance, Legal Studies, or a related field
• Relevant experience in audit, regulatory, risk or compliance environment
• Interest in obtaining Series 24 license

What you’ll get:

• Amazing benefits including medical, dental, vision and 401k (with matching options)
• Generous PTO package from your start date
• Access to an on-site café, 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. #LI-RH1 Apply tot his job Apply To this Job