Compliance Officer - Consulting Services
Position: Compliance Officer - Consulting Services
Department: AE Wealth Management Compliance
Reporting to: VP of Compliance - Outsourced Consulting Services
Location: Lenexa, KS - or fully remote for qualified candidates
Overview:
Are you an experienced compliance professional who thrives in a consultative, client-facing role? Do you enjoy helping RIAs navigate the complex regulatory landscape while building trust and long-term relationships? If so, AE Wealth Management is looking for a Compliance Officer to join our growing Outsourced Consulting Services team.
In this role, you'll have the unique opportunity to provide outsourced compliance solutions to third-party RIAs on our platform. You'll act as a trusted advisor-offering proactive compliance guidance, drafting critical regulatory documents, and in some cases, serving as the designated outsourced Chief Compliance Officer (CCO) for select firms. This is an exciting chance to leverage your compliance expertise while influencing the success of multiple RIA businesses.
If you're ready to take your compliance expertise to the next level, apply today and join us in shaping the future of outsourced compliance services!
What you'll do:
• Provide consultative compliance guidance to RIA firms, including drafting and reviewing disclosure documents, policies and procedures, and codes of ethics
• Advise clients on regulatory requirements under the Investment Advisers Act of 1940 and other applicable laws and rules
• In select cases, serve as the outsourced Chief Compliance Officer for designated RIAs
• Build strong relationships with RIA clients as a trusted compliance partner and advisor
• Collaborate with advisor office teams-operations, sales, legal and leadership- to promote a culture of compliance and ethical conduct
• Assist and provide leadership in the needs analysis and development of compliance training
• Become a subject matter expert of the compliance operating system with the ability to support related tasks and reviews
• Travel quarterly to advisor offices to build relationships and support firm compliance
• Stay ahead of industry trends, regulatory changes, and evolving best practices to ensure compliance programs remain strong and effective
Experience you'll bring:
• 8+ years of investment adviser compliance experience
• Experience working directly with regulators on exams and inquiries
• Strong written and verbal communication skills with the ability to influence senior leaders and external clients
• Proven success in a consultative, client-service environment-you know how to balance regulatory expertise with practical business solutions
• Strong organizational skills and ability to thrive in a fast-paced, evolving environment
Bonus Points:
• Bachelor's degree/ advanced degree in related field
• Series 65 strongly preferred or other designation or experience with RIAs
• Additional securities credentials preferred FINRA Series 7, 24, 65/66
• Prior experience serving in a compliance leadership capacity
• Experience with broker-dealer business from a product, corporate governance, compliance, and administrative perspective
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 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-MS1
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Department: AE Wealth Management Compliance
Reporting to: VP of Compliance - Outsourced Consulting Services
Location: Lenexa, KS - or fully remote for qualified candidates
Overview:
Are you an experienced compliance professional who thrives in a consultative, client-facing role? Do you enjoy helping RIAs navigate the complex regulatory landscape while building trust and long-term relationships? If so, AE Wealth Management is looking for a Compliance Officer to join our growing Outsourced Consulting Services team.
In this role, you'll have the unique opportunity to provide outsourced compliance solutions to third-party RIAs on our platform. You'll act as a trusted advisor-offering proactive compliance guidance, drafting critical regulatory documents, and in some cases, serving as the designated outsourced Chief Compliance Officer (CCO) for select firms. This is an exciting chance to leverage your compliance expertise while influencing the success of multiple RIA businesses.
If you're ready to take your compliance expertise to the next level, apply today and join us in shaping the future of outsourced compliance services!
What you'll do:
• Provide consultative compliance guidance to RIA firms, including drafting and reviewing disclosure documents, policies and procedures, and codes of ethics
• Advise clients on regulatory requirements under the Investment Advisers Act of 1940 and other applicable laws and rules
• In select cases, serve as the outsourced Chief Compliance Officer for designated RIAs
• Build strong relationships with RIA clients as a trusted compliance partner and advisor
• Collaborate with advisor office teams-operations, sales, legal and leadership- to promote a culture of compliance and ethical conduct
• Assist and provide leadership in the needs analysis and development of compliance training
• Become a subject matter expert of the compliance operating system with the ability to support related tasks and reviews
• Travel quarterly to advisor offices to build relationships and support firm compliance
• Stay ahead of industry trends, regulatory changes, and evolving best practices to ensure compliance programs remain strong and effective
Experience you'll bring:
• 8+ years of investment adviser compliance experience
• Experience working directly with regulators on exams and inquiries
• Strong written and verbal communication skills with the ability to influence senior leaders and external clients
• Proven success in a consultative, client-service environment-you know how to balance regulatory expertise with practical business solutions
• Strong organizational skills and ability to thrive in a fast-paced, evolving environment
Bonus Points:
• Bachelor's degree/ advanced degree in related field
• Series 65 strongly preferred or other designation or experience with RIAs
• Additional securities credentials preferred FINRA Series 7, 24, 65/66
• Prior experience serving in a compliance leadership capacity
• Experience with broker-dealer business from a product, corporate governance, compliance, and administrative perspective
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 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-MS1
Apply tot his job
Apply To this Job