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Surveillance Compliance Intern

Surveillance Compliance Intern

Advisors ExcelTopeka, KS, United States
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Position :

Surveillance Compliance Intern

Location :

4113 SW Gage Center Drive

Topeka, KS

Job Id : 2395

# of Openings :

Position : Surveillance Compliance Intern

Department : Compliance

Reporting to : Compliance Manager

Location : Topeka, KS - Onsite

Overview :

Are you ready to kickstart your career in compliance? In this dynamic role, you'll play a crucial part in supporting our compliance efforts by managing data to monitor the day-to-day activities of our advisors and registered representatives. Your essential duties will include auditing data feeds for accurate reporting and tackling data errors to resolve any issues that arise. In a fast-paced, ever-changing regulatory environment, we're seeking a self-motivated individual who embraces change and thrives on proactive problem-solving. If you're eager to learn, grow, and make a meaningful impact, we want to hear from you!

What you'll do :

  • Manage and troubleshoot data errors and updates to keep our surveillance system running smoothly
  • Assist with maintaining active data feeds for personal trading accounts
  • Support audits of the surveillance systems files
  • Take charge of compliance projects like a boss! We need someone who can drive these initiatives independently.
  • Support other compliance teams as assigned. Collaboration is key, and we're all about teamwork!

Experience you'll bring :

  • Self-starter and have interest in compliance and data management
  • Ability to work independently and take ownership of projects
  • Exceptional problem determination skills with a high attention to detail
  • Ability to gain knowledge and understanding of compliance requirements and regulations
  • Confident, professional and articulate written and verbal communication skills

    • Bonus Points :

  • Completed coursework in corporate compliance, business transactions, or other related topics
  • Previous experience in business law, particularly securities, insurance, or compliance law

    • What you'll get :

  • Access to an on-site cafe and gym
  • 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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    Compliance Intern • Topeka, KS, United States