Job Details

Compliance Consultant

Company name

Advanced Regulatory Compliance, Inc.

Organization Type

In-House

Job Type

Legal Staff

Posted on

Jul 25,2018

Years of Experience

1-2 yrs required

Location

Beverly Hills, CA
Practice Area
Finance >> Finance - General
  Employer Sponsored Job (Free to apply to)
 
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Profile

Compliance Consultant The candidate will be leading RIAs and their representatives through the SEC and/or state registration process. Will be completing required regulatory annual filings. Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents. Reviewing marketing materials. Reviewing and/or drafting employment agreements. Formation of legal entities. Bachelor’s Degree. Business Major, Finance Major, Accounting Majors, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program is needed. Should preferably have 1 - 2 years of experience in the securities industry. Series 7, and/or Series 24, Series 66 or Series 65 optional (we can hold securities licenses) is needed. Working knowledge of Investment Adviser's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules are preferred. Expertise in the Microsoft Office Suite. Strong attention to detail, responsiveness and ability to take initiative is needed.

Company info

Hiring Coordinator
Advanced Regulatory Compliance, Inc.
415 N. Camden Drive
Ste. 223
Beverly Hills, CA 90210

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