Position: Regulatory Legal Assistant Department: Compliance Reporting to: Compliance Director Location: Lenexa, KS/ Topeka, KS - Onsite Overview: The Regulatory Legal Assistant – Complaints, Investigations, and Regulatory Inquiries will manage high-priority cases, perform thorough analyses of complaints and service issues, and deliver clear, regulatory-compliant reporting and resolutions. You will serve as a senior resource for the team, maintain accurate records, collaborate across departments, work with Regulatory Counsel to respond to regulatory inquiries, and proactively enhance compliance processes to uphold Compliance’s commitment to integrity and operational excellence. What you’ll do: - Conduct thorough reviews of complaints to ensure timely reviews, responses, and identify opportunities for process improvement
- Perform complex investigations and quality service reviews by gathering and analyzing relevant documents and circumstances
- Serve as a knowledgeable resource for team members, providing guidance, support, and expertise to help resolve challenges
- Maintain records and reports for investigations, complaints, and quality service reviews, adhering to established protocols
- Assist Regulatory Counsel and Compliance Director with regulatory inquiries
- Provide prompt and courteous responses to advisor requests, delivering optimal customer service while upholding ethical and compliance standards
- Perform additional duties as assigned by management to support the compliance function and overall organizational objectives
Experience you’ll bring: - 3+ years of experience in financial services
- Background in compliance, audit, risk, or regulatory work — whether at a broker-dealer/RIA or with a regulator like FINRA & SEC
- Strong knowledge of broker-dealer and investment advisor regulations
- Sharp writing skills - you can explain complex findings clearly and accurately
- Strong analytical and problem-solving instincts
- Comfortable managing a full plate of priorities in a fast-paced environment
- A self-starter who takes ownership and knows when to ask for help
Bonus Points: Bachelor’s degree in business administration, finance, legal studies, or a related field Willingness to obtain appropriate securities license or credentials as determined by the leader FINRA Rule 4530 disclosure review and reporting experience
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 café, 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. #LI-RH1
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