Position: Chief Compliance Officer - Asset Management
Department: AE/AEWM/AEFS Compliance
Reporting to: AE Chief Compliance Officer
Location: Lenexa, KS - Onsite
Overview:
Advisors Excel is seeking an experienced and strategic Chief Compliance Officer - Asset Management to oversee the compliance program for Veta Investment Partners, an affiliated asset management firm, and to help design and implement the compliance infrastructure for a newly forming RIA focused on asset management.
This is a high-impact opportunity for a seasoned compliance leader who excels in dynamic, growth-oriented environments and wants to influence the structure and culture of compliance for two asset management firms within an expanding organization.
What you'll do:
- Develop, implement, and oversee comprehensive compliance programs for Veta Investment Partners and the new RIA once established, ensuring alignment with SEC regulations and industry best practices.
- Serve as the principal compliance advisor for investment management, portfolio oversight, and operational compliance activities.
- Lead regulatory filings, including Form ADV updates, brochure filings, Section 13 Exchange Act filings, and other RIA-required disclosures.
- Act as the primary liaison with the SEC and other regulatory bodies during examinations, inquiries, and communications.
- Conduct ongoing compliance testing, monitoring, and risk assessments to proactively identify and address issues.
- Provide guidance and training to portfolio managers and firm leadership on compliance expectations and emerging regulatory trends.
- Investigate and resolve potential compliance breaches, recommending appropriate remediation and preventive measures.
- Hire, mentor, and develop compliance personnel to support both firms' compliance needs.
- Promote and maintain a culture of ethical conduct and compliance excellence across all asset management operations.
Experience you'll bring:
- Minimum 10 years of investment advisory compliance experience, with deep expertise in asset management and RIA compliance.
- In-depth knowledge of the Investment Advisers Act of 1940 and other relevant SEC and state regulations.
- Strong understanding of portfolio management operations, investment products, governance, and regulatory reporting.
- Demonstrated success building or enhancing compliance programs within an investment adviser or asset management environment.
- Proven ability to identify and mitigate compliance risks and implement effective control frameworks.
- Exceptional communication, analytical, and organizational skills; able to partner effectively with senior executives and portfolio managers.
Bonus Points:
- Bachelor's degree or equivalent experience.
- Securities license(s) and/or relevant professional designation(s) such as Series 65 or 66, Investment Adviser Certified Compliance Professional (IACCP), or Certified Financial Compliance Professional (CFCP).
- Experience supporting the formation and registration of an RIA or the launch and governance of ETFs, private funds, or other investment vehicles.
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 cafe, 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.
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Advisors Excel
401(k)
Nov 04, 2025