AE
Director of Compliance, Outsourced Consulting Services
- Hiring from
- United States
- Work type
- Remote
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Position: Director of Compliance, Outsourced Consulting Services
Department: AE Wealth Management Compliance
Reporting to: VP of Compliance, Outsourced Consulting Services
Location: Topeka, KS/ Lenexa, KS - open to fully Remote for qualified candidates
Overview:
Are you an experienced RIA compliance professional who enjoys building relationships, developing solutions, and helping independent financial advisory firms navigate an evolving regulatory environment? Join Advisors Excel as our Director of Compliance, Outsourced Consulting Services.
In this role, you’ll help build and grow compliance consulting services for third-party Registered Investment Advisers (RIAs). You’ll work directly with advisory firms to develop effective compliance programs, provide regulatory guidance, and create solutions that support their business needs. You’ll also help investment adviser representatives (IARs) of our RIA who are looking to establish their own RIA firms, guiding them through the registration process and helping them build a strong compliance foundation. This is an opportunity to play an important role in expanding our consulting services and shaping the future of this growing business.
What you’ll do:
- Lead the development and delivery of outsourced compliance consulting services for third-party RIAs.
- Provide expert guidance on developing, implementing, and administering compliance programs that meet applicable laws and regulations.
- Build strong relationships with RIA partners by delivering exceptional service, earning trust, and understanding their unique business needs.
- Provide guidance and support to investment adviser representatives (IARs) of our RIA who are establishing their own RIA firms, including assistance with the RIA registration process.
- Help develop resources, processes, and compliance support solutions that make it easier for IARs to launch and operate their own independent RIA firms.
- Partner with leadership and sales teams to identify prospective clients, present consulting solutions, and support business development efforts.
- Identify opportunities to expand consulting services by evaluating market trends, client needs, and new service offerings.
- Develop turnkey compliance solutions for policies, supervision, surveillance, and other investment adviser compliance functions.
- Serve as a trusted resource for clients and internal teams on regulatory requirements, compliance best practices, and industry developments.
- Collaborate with operations, legal, sales, senior leadership, and other key partners to promote a strong culture of compliance and ethical conduct.
- Identify potential compliance risks, recommend solutions, and escalate issues when appropriate.
- Stay current on regulatory changes and industry trends, evaluating their impact on client compliance programs and services.
- Help build and develop the compliance consulting team through hiring, coaching, mentoring, and performance management as the team grows.
Experience you’ll bring:
- Minimum 10 years investment advisory compliance experience
- Prior RIA compliance consulting experience
- Previous leadership experience; ability to manage, motivate, grow team members and influence others cross-functional teams
- Experience developing, launching, or expanding compliance consulting services
- Business development experience, including engaging prospective clients, presenting solutions, and communicating complex compliance concepts in an approachable way
- Strong understanding of investment adviser regulations and the ability to interpret and communicate regulatory guidance
- Excellent organization, communication, and relationship-building skills, with the ability to manage competing priorities and tight deadlines
- Confidence interacting with and influencing senior leadership, independent financial advisors, and other key stakeholders
Bonus Points:
- Series 65 license strongly preferred
- Additional securities licenses or credentials, including Series 7, 24, or 66
- Experience in the insurance industry
- Bachelor's degree or advanced 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.
