[Remote] Compliance Specialist II – Complaints and Investigations

Note: The job is a remote job and is open to candidates in USA. Advisors Excel is seeking an experienced and motivated Compliance Specialist II specializing in Complaints and Investigations to join their compliance team. In this advanced role, you will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues. Responsibilities • Perform complex investigations, complaints, and quality service reviews by gathering and analyzing relevant documents and circumstances • Assist the Compliance Manager with training team members • Prepare comprehensive letters and memos pertaining to investigations and complaints, ensuring accuracy and clarity in communication • Maintain records and reports for investigations, complaints, and quality service reviews, adhering to established protocols • Collaborate closely with internal stakeholders across departments to facilitate the completion of investigations and related tasks • Efficiently track and manage multiple cases, prioritizing tasks to meet deadlines effectively • Take ownership of assigned projects, demonstrating accountability for timely completion with or without direct oversight Skills • 3-5 years of financial services industry experience • Active Series 7 license required • Exceptional written communication skills with the ability to convey information accurately and succinctly through factual reporting, ensuring compliance documentation meets regulatory standards • Strong problem-solving and analytical skills with the ability to interpret complex information and make sound judgments • Capable of engaging with individuals at all levels of the organization and across diverse personality types, fostering effective collaboration and communication • Strong organizational skills in managing a demanding workload and navigating competing priorities in a fast-paced environment, while maintaining a focus on achieving key objectives and deadlines • Bachelor's degree in business administration, Finance, Legal Studies, or a related field • Relevant experience in audit, regulatory, risk or compliance environment • Interest in obtaining Series 24 license Benefits • Medical • Dental • Vision • 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! Company Overview • Advisors Excel is a financial services company offering retirement income strategies and financial advisory services. It was founded in 2005, and is headquartered in Topeka, Kansas, USA, with a workforce of 501-1000 employees. Its website is Apply tot his job