Compliance Advertising Analyst

Advisors Excel•Lenexa, KS

1d•Onsite

About The Position

Advisors Excel is seeking a Compliance Advertising Analyst to support financial advisors by reviewing marketing materials for regulatory compliance. This role involves providing consultative guidance, helping advisors understand compliance requirements, and collaborating to find practical solutions. The analyst will also work with emerging technologies, including AI-powered compliance tools, and support various compliance initiatives within a fast-paced and growing organization.

Requirements

Strong relationship-building and client service skills.
Ability to communicate complex information clearly and professionally.
Ability to learn, understand, and apply compliance requirements and industry regulations.
Demonstrated willingness to learn and adopt new technologies, including AI-powered tools.
Ability to independently research issues, analyze information, and make sound recommendations in situations where processes may not be clearly defined.
Adaptability and flexibility to support multiple areas of compliance as business needs evolve.
Ability to work with urgency while maintaining a high degree of accuracy and attention to detail.

Nice To Haves

2+ years of experience in the financial services industry.
Experience working directly with financial advisors, investment adviser representatives, or insurance professionals.
Exposure to compliance, regulatory review, marketing review, or related functions.

Responsibilities

Conduct comprehensive reviews of advertising communications, promotional materials, sales trainings, and seminar programs to ensure full compliance with state and federal regulations.
Provide clear, professional, and consultative compliance guidance to advisors and their staff through written and verbal communication.
Utilize AI-powered compliance and advertising review tools to improve efficiency, consistency, and accuracy while exercising independent professional judgment.
Support vendor review and due diligence efforts by evaluating third-party vendors identified during the advertising review process, gathering information, assessing potential risks, and determining appropriate next steps.
Collaborate with advisors and their staff to obtain information needed for compliance reviews and vendor evaluations while delivering a high level of client service.
Support outsourced compliance consulting services, including high-volume advertising review activities for advisor offices requiring elevated service and attention.
Maintain accurate records and track project status through internal databases, ensuring reviews and approvals are properly documented.
Stay current on evolving regulations, industry trends, emerging technologies, and compliance requirements.
Support additional compliance initiatives and projects as business needs evolve.