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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; 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. Should preferably have 1â€“2 years of experience in the securities industry. Must have Bachelorâ€™s Degree. Business Major, Finance Major, Accounting Majors, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program. Series 7, and/or Series 24, Series 66 or Series 65 optional (we can hold securities licenses). Working knowledge of Investment Adviser's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules preferred. Must have expertise in the Microsoft Office Suite.
Send copy of a cover letter and resume.
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