Position: Licensing and Registration Compliance Analyst
Department: AEWM Compliance
Reporting to: Vice President, Compliance
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview:
Ready to make an impact at Advisors Excel? As a Licensing and Registration Compliance Analyst, you'll be a key player in helping our advisors thrive. You'll handle onboarding applications, submit registrations to regulatory agencies, and keep everything compliant across jurisdictions. Expect to manage detailed, confidential records, support advisor agreements, track licensing rules, provide reports, troubleshoot issues, and jump into special projects to keep things running smoothly.
If you're organized, detail-focused, and ready to make a difference at a great company, this is your chance to join a dynamic team!
What you'll do:
- Review and process all onboarding applications submitted by advisors and registered representatives
- Complete and submit registration applications to regulatory agencies
- Ensure the RIA and Broker-Dealer, as well as each IAR and Registered Representative, are registered in all required jurisdictions
- Open and maintain licensing and registration records by updating advisor information throughout their association
- Maintain advisor support staff records in various databases and vendor solutions
- Coordinate with internal teams to ensure a smooth advisor transition and ongoing support throughout their relationship
- Communicates in writing or verbally with state departments, internal associates, and related departments as needed to ensure compliance
- Generate reports from databases and vendor solutions to satisfy regulatory and internal inquiries for licenses/appointments and various data points maintained
- Maintain and create operating procedures for various processes used in this position, including updating the team's SharePoint site
- Remains current on state licensing and appointment requirements and monitors changes in state laws
Experience you'll bring:
- Strong customer service, interpersonal, and communication skills, with a professional and confident demeanor to engage diverse personalities
- Highly organized, with strong time management to handle a heavy workload, multiple tasks, and shifting priorities in a fast-paced environment
- Works independently and collaboratively, with a positive attitude, initiative for process improvements, and a commitment to exceptional customer service
- Detail-oriented with exceptional problem-solving skills and the ability to handle confidential information
Bonus Points:
- Previous experience in the financial services industry, specifically working with licensing and registration
- Familiarity with Form ADV, Form U4, and Form U5
- Bachelor's 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 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 of 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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Advisors Excel
401(k)
Jun 06, 2025