Compliance Specialist – Consulting Services

Position: Compliance Specialist – Consulting Services

Department: AE Wealth Management Compliance

Reporting to: VP of Compliance – Outsourced Consulting Services

Location: Lenexa, KS or Topeka, KS - Onsite

Overview

Are you detail-oriented, technology-savvy, and passionate about supporting compliance in the fast-paced world of wealth management? AE Wealth Management is looking for a Compliance Specialist to join our Compliance team and play a key role in helping independent RIAs run strong, effective compliance programs.

In this role, you’ll work closely with our VP of Compliance – Outsourced Consulting Services to support third-party RIAs on the AE Wealth platform. From onboarding new firms to reviewing advisory activities and staying ahead of regulatory changes, you’ll be a trusted partner helping firms confidently navigate compliance. If you’re looking for a place where you can grow your compliance career while supporting advisors across the country, we’d love to meet you.

What You’ll Do

• Become a subject matter expert on our compliance operating system and provide support across key compliance tasks
• Conduct ongoing reviews of advisory activities, including: marketing materials, Code of Ethics requirements, annual testing, licensing & registration, and electronic communications/social media
• Review and take action on attestations and personal trading accounts
• Respond to compliance-related inquiries with excellent client service, always upholding the highest ethical standards
• Stay current on evolving securities laws and regulations
• Manage projects independently, taking ownership from start to finish
• Jump in on other compliance initiatives as needed
  
  

Experience You’ll Bring

• Prior experience in financial services, ideally in investment advisory compliance
• Strong written and verbal communication skills with the ability to build effective relationships at all levels
• Self-starter mindset—organized, proactive, and able to prioritize with minimal direction
• Tech-savvy, adaptable, and eager to learn
• Experience thriving in a client-service, team-oriented environment
  
  

Bonus Points

• Knowledge of RIA securities laws, rules, and regulations
• Securities licenses or compliance certifications
• Bachelor’s degree in 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 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.