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Advisors Excel · 2 days ago

Policy Compliance Specialist

United States

Full-time

Remote

Entry, Mid Level

2+ years exp

Advisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors. As a Policy Compliance Specialist, you will be responsible for developing and maintaining compliance policies and procedures, ensuring adherence to regulatory requirements and industry standards while promoting best practices.

ConsultingFinancial ServicesMarketing

Growth Opportunities

No H1B

Responsibilities

Draft new and update existing written compliance policies and procedures pertaining to registered investment adviser and broker-dealer standards

Stay up to date on federal and state statutes/regulations pertaining to the securities industry

Take ownership of compliance-related projects, ensuring timely completion with or without direct supervision

Collaborate with business partners to publish policy and procedure changes

Create and maintain content for required compliance training courses, ensuring accuracy and clarity

Manage the process to ensure all required individuals complete compliance training within set deadlines

Respond to advisor inquiries with a focus on delivering excellent customer service while adhering to ethical and compliance standards

Oversee the creation and content of the monthly compliance newsletter, ensuring timely and relevant updates

Take a proactive approach to identifying opportunities for process improvements and implementing solutions to enhance compliance operations

Qualification

Compliance policiesRegulatory managementSecurities industry knowledgeWriting proceduresTraining material developmentProactive problem-solvingDiscretionProfessionalismFINRA knowledgeSecurities Industry EssentialsOrganizational skillsCommunication skills

Required

2–4 years of experience in the securities industry, with a background in compliance, and/or regulatory management

Skilled in writing business procedures, policies, documentation, and/or developing training materials

Experience writing internal communications for large audiences

Strong organizational skills; ability to prioritize and work with a high degree of accuracy while handling multiple responsibilities

Confident, professional, and articulate in written and verbal communication; ability to interact with all personality types and with all levels of staff

Proactive and self-motivated; able to work independently and as a collaborative team member

Demonstrates discretion and professionalism in handling sensitive and confidential information