About this role
Compliance Analyst – Complaints & Regulatory Affairs at Advisors Excel. Location: Lenexa or Topeka. Role: investigating complaints, writing findings, preparing filings Requirements: 3+ years in financial services, active FINRA Series 7, compliance/audit/regulatory background, strong writing, analytical skills, and ability to manage regulatory exams, complaints, and filings. Category: Legal and Compliance Seniority: Mid Level Certifications: finra series 7, finra series 24 Commitment: Full Time Workplace: Onsite Languages: English