Advisors Excel · 12 hours ago
Surveillance Analyst
Topeka, KS
Full-time
Onsite
New Grad, Entry LevelAdvisors Excel is a fast-paced, innovative company that seeks to service independent financial advisors. As a Surveillance Analyst, you will support the firm’s compliance and surveillance programs by monitoring advisor and employee trading activity while developing strong analytical and investigative skills.
ConsultingFinancial ServicesMarketing
Responsibilities
Conduct ongoing surveillance of registered representatives and advisor activity to ensure adherence to firm and regulatory requirements
Review daily surveillance and exception reports using internal systems and tools
Support the Personal Trading Account (PTA) and Code of Ethics monitoring programs for employees and advisors
Analyze trade alerts, identify potential issues, and escalate findings when appropriate
Examine exception data to identify trends, patterns, and potential risk areas
Perform targeted reviews based on risk assessments and the annual testing plan
Track remediation efforts and monitor the progress of action plans
Respond to management inquiries related to surveillance monitoring and testing activities
Undertake special compliance projects as assigned
Qualification
Required
Demonstrate the ability to learn and apply industry rules and regulatory requirements
Confident, professional and articulate in written and verbal communication
Strong fact-finding, analytical and problem-solving skills
Manage projects independently while collaborating effectively within a team
Ability to work with a high degree of accuracy in a fast-paced environment
Interact effectively with all levels of management, associates, advisors, carriers, and vendors
Handle confidential information with professionalism and discretion
Preferred
Securities industry experience
Series 7, 24, 53, 66, or 63/65 licenses—or a willingness to obtain licenses
Bachelor's degree
Benefits
Medical
Dental
Vision
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!
Company
Advisors Excel
Advisors Excel is a financial services company offering retirement income strategies and financial advisory services.
Founded in 2005
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2011-01-01Private Equity
Leadership Team
Greg Burton
Chief of Staff to CEO
Ryan Fickel
Chief Technology Officer & Chief Information Security Officer
Recent News
2025-08-22
2025-03-04
Company data provided by crunchbase