Position: Compliance Trainer
Department: AE Wealth Management Compliance
Reporting to: Policy and Training Manager
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview:
Are you passionate about assisting others in their learning journey? Do you get energized by taking complex subjects and simplifying the messages to educate others? In an ever-changing regulatory environment, compliance can emerge as a defining factor for our clients (independent financial advisors). This is precisely why Advisors Excel is actively seeking the skills of a Compliance Trainer. In this position, you will work closely with our advisor offices to identify compliance training needs and develop programs, initiatives, and training materials to meet those needs. This role will be responsible for the creation, facilitation, and implementation of compliance training programs.
What you'll do:
- Create compliance training and communication techniques and strategies for our Registered Investment Advisers (RIAs), RIA staff, RIA Chief Compliance Officers (CCOs), Investment Adviser Representatives (IARs), and IAR staff
- Support our CCO in the development of presentation content for webinars, live events, etc.
- Create content for compliance training courses by collaborating with AE business partners and subject matter experts
- Provide ongoing consultation and remote training for advisors and their staff
- Address specific compliance areas with advisor offices through one-on-one training and coaching
- Stay up to date on federal and state statutes/regulations pertaining to the securities industry
- Manage the process to ensure all training is completed by required individuals
- Take on projects related to compliance training and be accountable for completion with or without direct oversight
Experience you'll bring:
- 3-5 years' experience in training development and delivery
- Experience using training development software such as Articulate
- Experience writing training communications for large audiences
- Presentation and communication skills: ability to deliver presentations and communicate at all levels within our organization or agent's office
- Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
- Ability to work independently, but also as a collaborative team member
- Take a proactive approach to problem solving and aim for regular process improvement
- Ability to handle confidential information
Bonus Points:
- Experience working in the financial industry (RIA or Broker Dealer)
- Knowledge of FINRA, SEC, and various state rules/regulations
- Securities industry experience in supervision, compliance and/or regulatory management
- Series 7 examination preferred or interested in obtaining in the future
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
- 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.
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Advisors Excel
401(k)
April 04, 2024 