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Surveillance Specialist

Surveillance Specialist

Advisors ExcelTopeka, KS, United States
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Position :

Surveillance Specialist

Location : Topeka OR Lenexa, KS

Job Id : 2339

of Openings :

Position : Surveillance Specialist

Department : AEWM / AEFS Compliance

Reporting to : Compliance Manager

Location : Lenexa, KS or Topeka, KS - Onsite

Overview :

Are you passionate about compliance and regulatory adherence in the financial industry? Do you thrive in dynamic environments and excel at proactive problem-solving? If so, Advisors Excel is looking for you to join our Compliance Team as a Surveillance Specialist.

In this critical role, you will support the surveillance and personal trading programs of AE Financial Services (AEFS) and AE Wealth Management (AEWM).

Your work will ensure that our employees and advisors adhere to both firm and regulatory policies, helping us maintain our high standards of integrity and ethical conduct.

What you'll do :

  • Conduct ongoing surveillance of registered representatives and advisor activities to ensure adherence to firm and regulatory policy
  • Utilize exception reports and other tools to keep track of daily surveillance reports
  • Support the Code of Ethics oversight program by using surveillance systems for Personal Trade Account / Personal Trade Monitoring for Access / Associated Persons
  • Analyze trade alerts and escalate findings as necessary
  • Examine exception report data to identify trends and patterns
  • Assist in developing annual test plans based on business and regulatory priorities
  • Lead and / or perform targeted reviews according to risk and annual test plan
  • Identify compliance issues, collaborate with accountable owners to develop action plans, and report the results
  • Monitor the status of remediation efforts and track the progress of action plans
  • Respond to management inquiries related to surveillance monitoring and testing functions
  • Act as a liaison with senior compliance functional leads to foster collaboration across the organization
  • Undertake special compliance projects as needed

Experience you'll bring :

  • At least 2 years of experience in securities compliance, supervision, or a related financial services role
  • Demonstrated knowledge of industry rules and regulations
  • Confident, professional and articulate in written and verbal communication
  • Strong fact-finding, analytical and problem-solving skills
  • Ability to plan and organize tasks with minimal direction, work independently, and collaborate within a team
  • Ability to work with a high degree of accuracy in a fast-paced environment
  • Ability to handle confidential information with discretion

    • Bonus Points :

  • Series 7, 24, 53, 66 or 63 / 65 examinations preferred
  • Experience using surveillance and compliance monitoring systems, such as FIS or Protegent
  • Bachelor's Degree in related field

    • 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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    Surveillance Specialist • Topeka, KS, United States