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Regulatory Compliance Analyst — Complaints & Exams
Job in
Lenexa, Johnson County, Kansas, 66215, USA
Listed on 2026-07-10
Listing for:
Advisors Excel
Full Time
position Listed on 2026-07-10
Job specializations:
-
Government
Financial Compliance -
Finance & Banking
Financial Compliance
Job Description & How to Apply Below
Advisors Excel is seeking a Compliance Analyst to support complaints handling and regulatory affairs in Topeka or Lenexa, KS. You will investigate complaints, gather documents, and prepare clear findings in coordination with the Compliance Director.
You’ll help with regulatory filings (FINRA where required), assist exam readiness, and maintain audit-ready records. Ideal candidates have 3+ years in financial services and strong writing and analytical skills.
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