Ethics & Compliance Training Manager plans and manages the organization's ethics and compliance training programs. Conducts needs analyses and designs training and development programs. Being an Ethics & Compliance Training Manager interfaces with functional groups outside the ethics and compliance office to ensure curriculum content and methods meet legal, regulatory, and corporate objectives. Keeps abreast of pending regulatory developments, such as Sarbanes Oxley, through reference sources and interacts with appropriate members of management to obtain insight and ensure training programs meet legislative agendas, at both the Federal and State levels. Additionally, Ethics & Compliance Training Manager oversees the purchase of all training modules and interfaces with outside vendors and contractors. May require a bachelor's degree in area of specialty. Typically reports to a head of a unit/department. The Ethics & Compliance Training Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. To be an Ethics & Compliance Training Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. (Copyright 2024 Salary.com)
Position: Compliance Training Analyst | ||||
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Job Id: 1929 | ||||
# of Openings: 1 | ||||
Position: Compliance Training Analyst
Department: AE Wealth Management Compliance
Reporting to: Policy and Training Manager
Location: Lenexa, KS/ Topeka, KS - Onsite
Overview:
Are you passionate about assisting others in their learning journey? Do you get energized by taking complex subjects and simplifying the messages to educate others? In an ever-changing regulatory environment, compliance can emerge as a defining factor for our clients (independent financial advisors). This is precisely why Advisors Excel is actively seeking the skills of a Compliance Training Analyst. In this position, you will work closely with our advisor offices to identify compliance training needs and develop programs, initiatives, and training materials to meet those needs. This role will be responsible for the creation, facilitation, and implementation of compliance training programs.
What you'll do:
Experience you'll bring:
Bonus Points:
What you'll get:
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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