Overview
Compliance Advertising Manager Jobs in Topeka, Kansas, USA at Advisors Excel
Position:
Compliance Advertising Manager
Location:
Topeka OR Lenexa, KS
Job :
2210
# of Openings:
1 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 forprocess improvementand 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:
3-5 years of experience in securities industry supervision, compliance, or regulatory management.
Strong knowledge of FINRA, SEC, and state advertising regulations.
Exceptionalcommunication skills-both written and verbal.
Detail-oriented with strong organizational andanalytical 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
Continuouspersonal and professional developmentopportunities
Recognitionfor 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 pos…
Title: Compliance Advertising Manager
Company: Advisors Excel
Location: Topeka, Kansas, USA
Category: Management, Marketing / Advertising / PR
