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Years of Experience
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. Bachelorâ€™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.
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