Compliance Associate - Trade Surveillance
Advisors Excel, Topeka, Kansas, United States, 66652
Location:
Topeka OR Lenexa, KS
Job Id: 2531
# of Openings: 1
Department: Compliance
Reporting to: Compliance Director
Overview As a Compliance Associate at AE Wealth Management (AEWM) and AE Financial Services (AEFS), you’ll support the firm’s compliance and surveillance programs by helping monitor advisor and employee trading activity. This role is a great opportunity to learn how compliance works in a financial services environment while developing strong analytical and investigative skills.
You’ll work closely with experienced Compliance team members to review surveillance alerts, analyze exception reports, and support the Personal Trading Account and Code of Ethics programs. If you’re detail-oriented, curious, and interested in building a foundation in financial services compliance, this role offers hands‑on experience and room to grow.
What you’ll do
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 elevate 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
Experience you’ll bring
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
Bonus Points
Advanced data analysis skills using Excel, Alteryx, and/or Power BI
Securities industry experience
Series 7, 24, or 66 licenses—or a willingness to obtain licenses
Bachelor’s degree in Finance, Business, Compliance, or a related field
What you’ll get
Amazing benefits including medical, dental, vision, and 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 opportunitiesRecognition 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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Topeka OR Lenexa, KS
Job Id: 2531
# of Openings: 1
Department: Compliance
Reporting to: Compliance Director
Overview As a Compliance Associate at AE Wealth Management (AEWM) and AE Financial Services (AEFS), you’ll support the firm’s compliance and surveillance programs by helping monitor advisor and employee trading activity. This role is a great opportunity to learn how compliance works in a financial services environment while developing strong analytical and investigative skills.
You’ll work closely with experienced Compliance team members to review surveillance alerts, analyze exception reports, and support the Personal Trading Account and Code of Ethics programs. If you’re detail-oriented, curious, and interested in building a foundation in financial services compliance, this role offers hands‑on experience and room to grow.
What you’ll do
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 elevate 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
Experience you’ll bring
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
Bonus Points
Advanced data analysis skills using Excel, Alteryx, and/or Power BI
Securities industry experience
Series 7, 24, or 66 licenses—or a willingness to obtain licenses
Bachelor’s degree in Finance, Business, Compliance, or a related field
What you’ll get
Amazing benefits including medical, dental, vision, and 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 opportunitiesRecognition 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.
#J-18808-Ljbffr