Top 21 Series 7 Jobs in Topeka Ks

E-Communications Compliance Analyst
Advisors Excel —Topeka, KS
- Mid-level
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- Analysis skills
- Health insurance
- Dental insurance
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- Full-time
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Thrivent —Topeka, KS
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Retirement Planner
Empower —United States
- $60,000 - $78,000 a year
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- Bachelor's degree
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9d
Regional Vice President of Sales (Mid-Atlantic)
Fisher Investments —United States
- From $175,000 a year
- 5 years
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Regional Vice President of Sales (Northeast)
Fisher Investments —United States
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- Senior level
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- Dental insurance
Retirement Planner
Empower —United States
- $60,000 - $78,000 a year
- Remote
- Mid-level
- Bachelor's degree
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E-Communications Compliance Analyst

Advisors Excel -
Topeka, KS

Quick Apply

Job Details

Benefits

Health insurance
On-site gym
Dental insurance
Paid time off
Vision insurance
401(k) matching

Qualifications

Vendor relationship building

Full Job Description

Position: E-Communications Compliance Analyst

Department: Wealth Management Compliance

Reporting to: E-Communications Manager

Location: On-site in Topeka or Lenexa, KS

Overview:

Are you an organized and detail-oriented professional looking for an exciting new challenge? Our growing E-Communications team is on the hunt for a passionate individual like you! In this role, you’ll manage and test our electronic communications tools to ensure our organization and clients stay compliant in the ever-changing regulatory landscape. If you are self-motivated, adaptable, and ready to make an impact, we want to hear from you.

What you’ll do:

Regularly test and manage electronic communication tools to track advisors’ business communications, including but not limited to email, texting, social media, and websites
Onboard new advisors and offices with our electronic communications tools; ensure all necessary communications are being archived accurately
Offboard advisors and offices to ensure all tracking has been turned off
Communicate regularly with advisors and office staff to ensure information is archived accurately
Troubleshoot and problem-solve on various issues that arise with the tools and archive system
Manage projects related to compliance tools
Build and maintain relationships with various vendors
Take a proactive approach to problem-solving and aim for regular process improvement

Experience you’ll bring:

Previous experience in financial services
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 work independently but also as a collaborative team member
Proactive problem-solving, strong analytical skills, and critical thinking abilities
An aptitude for technology, embrace change, and have a desire to learn

Bonus Points:

Experience in the securities industry related to supervision, compliance, and/or regulatory management
Knowledge of FINRA and SEC regulations
Experience in testing and maintaining a control environment with electronic communication tools
Series 7, 24, and/or 65 licensed

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 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

Quick Apply

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series 7 jobs in topeka ks

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