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Compliance manager Empleos en Olathe ks

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Compliance Advertising Manager

Compliance Advertising Manager

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A tiempo completo
Compliance Advertising Manager.Position : Compliance Advertising Manager.Department : Compliance - Wealth Management.Reporting to : Compliance Director. Location : Lenexa, KS / Topeka, KS - Onsite.As a C...Mostrar másÚltima actualización: hace 5 días
Facility Compliance Auditor

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Quick Apply
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Code Compliance Specialist I / II

Code Compliance Specialist I / II

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Corporate Counsel - Government Subsidy Programs Compliance

Corporate Counsel - Government Subsidy Programs Compliance

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123.200,00 US$–222.200,00 US$ anual
A tiempo completo +1
At T-Mobile, we invest in YOU! Our Total Rewards Package ensures that employees get the same big love we give our customers. All team members receive a competitive base salary and compensation packa...Mostrar másÚltima actualización: hace 23 días
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Manager, EH&S Compliance

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Cogent Communications is a global, Tier 1 facilities-based ISP, consistently ranked as one of the top five networks in the world and is publicly traded on the NASDAQ Stock Market under the ticker s...Mostrar másÚltima actualización: hace más de 30 días
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Software Compliance Analyst

Software Compliance Analyst

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Ensures quality software products are deployed to enhance the work and mission of KVC by testing system requirement compliance, detection of software bugs, and end user training / support.Work as a t...Mostrar másÚltima actualización: hace 24 días
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Associate Compliance Officer

Associate Compliance Officer

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We seek a highly motivated individual with meticulous attention to detail and a focused and strong work ethic to fulfill the. Prime Capital Financial, LLC, a leading Investment Advisory Firm focused...Mostrar másÚltima actualización: hace 2 días
Compliance Specialist - Hybrid Onsite

Compliance Specialist - Hybrid Onsite

Cboe Global Markets, Inc.Lenexa, KS
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The Compliance Specialist will supportCboe Global Markets, Inc.Cboe”) Compliance team (“Compliance”) and other Cboe stakeholders to help plan, monitor, and guide the execution of key Compliance ini...Mostrar másÚltima actualización: hace 18 días
Claim Regulatory Compliance Manager

Claim Regulatory Compliance Manager

020 Travelers Indemnity CoOverland Park,KS
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Taking care of our customers, our communities and each other.By honoring this commitment, we have maintained our reputation as one of the best property casualty insurers in the industry for over 16...Mostrar másÚltima actualización: hace más de 30 días
Compliance Advertising Manager Job at Advisors Excel in Lenexa

Compliance Advertising Manager Job at Advisors Excel in Lenexa

MediabistroLenexa, KS, United States
A tiempo completo
Compliance Advertising Manager.Position : Compliance Advertising Manager.Department : Compliance - Wealth Management.Reporting to : Compliance Director. Location : Lenexa, KS / Topeka, KS - Onsite.As a C...Mostrar másÚltima actualización: hace 12 días
BSA Compliance Officer KS

BSA Compliance Officer KS

Adams, Inc.KS, US
Job Leads are potential openings we are willing to investigate for you.By completing this form, you are indicating to us that you are interested in exploring this opportunity in greater depth : BSA ...Mostrar másÚltima actualización: hace más de 30 días
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Finance Manager - US Government Compliance

Finance Manager - US Government Compliance

HoneywellOverland Park, KS, United States
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The Finance Manager oversees staff supporting the CFO organization; providing leadership and direction in Finance operating processes, policies, procedures, process improvements, and employee devel...Mostrar másÚltima actualización: hace 15 días
Aviation Compliance Engineer

Aviation Compliance Engineer

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Partner Compliance Specialist

Partner Compliance Specialist

SelectQuote Insurance ServicesOverland Park, KS
Founded in 1985, SelectQuote provides solutions that help consumers protect their most valuable assets : their families, health and property. The company pioneered the model of providing unbiased com...Mostrar másÚltima actualización: hace más de 30 días
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Senior Counsel, Employment + Compliance

Senior Counsel, Employment + Compliance

Flynn GroupOverland Park, KS, United States
A tiempo completo
Flynn Group (together with its subsidiaries Apple American Group, Bell American Group, Pan American Group, RB American Group, Hut American Group, Wend American Group, and Flynn Fitness Group) seeks...Mostrar másÚltima actualización: hace 8 días
Compliance Advertising Manager

Compliance Advertising Manager

Advisors ExcelLenexa, KS, United States
Hace 5 días
Tipo de contrato
  • A tiempo completo
Descripción del trabajo

Position :

Compliance Advertising Manager

Location : Topeka OR Lenexa, KS

Job Id : 2210

of Openings :

Position : Compliance Advertising Manager

Department : Compliance - Wealth Management

Reporting to : Compliance Director

Location : Lenexa, KS / Topeka, KS - Onsite

Overview :

As a Compliance Advertising Manager at Advisors Excel, you will oversee the review and approval of advertising and promotional materials for our registered investment advisor businesses. Leading a team of Advertising Review Analysts, you will ensure compliance with FINRA, SEC, and state regulations while collaborating with advisors and internal teams. This role requires strong regulatory knowledge, attention to detail, and the ability to provide clear guidance in a fast-paced, team-oriented environment.

If you're passionate about compliance and ready to make an impact in financial advertising, apply today and join our team!

What you'll do :

  • Lead and develop a team of Advertising Review Analysts to ensure marketing materials comply with state and federal regulations.
  • Act as an internal consultant, guiding advisors and business partners through the advertising review process.
  • Review and approve a variety of materials, including consumer-facing advertisements, sales training content, and promotional communications.
  • Collaborate with business units to align compliance procedures with industry best practices.
  • Stay ahead of regulatory changes and ensure compliance with FINRA, SEC, and state regulations.
  • Identify opportunities for process improvement and efficiency in advertising review workflows.
  • Assist in the development and implementation of advertising review policies and procedures to maintain compliance best practices.
  • Analyze regulatory impacts of advertising materials on other compliance areas, such as supervision, books and records, and privacy regulations.
  • Provide training and mentorship to internal teams and advisors on advertising compliance and regulatory expectations.

Experience you'll bring :

  • 5+ years of experience in securities industry supervision, compliance, or regulatory management.
  • Strong knowledge of FINRA, SEC, and state advertising regulations.
  • Exceptional communication skills-both written and verbal.
  • Detail-oriented with strong organizational and analytical skills.
  • Ability to work cross-functionally with advisors, marketing teams, and compliance professionals.
  • Bonus Points :

  • Series 7, 24, and 65 licenses preferred
  • Experience with marketing review processes.
  • 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 cafe, 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.

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