What are the responsibilities and job description for the Compliance Advertising Manager position at Advisors Excel?
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
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.
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.
- 3-5 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.
- Series 7, 24, and 65 licenses preferred
- Experience with marketing review processes.
- 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!
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.
