Job Details

Compliance Consultant

Company name

Advanced Regulatory Compliance, Inc.

Organization Type


Job Type

Legal Staff

Years of Experience

1-2 yrs required


Beverly Hills, CA

Posted on

Apr 17,2018
Practice Area
Corporate >> Corporate - Securities and Capital Markets
  Employer Sponsored Job (Free to apply to)
17 hits


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 1–2 years of experience in the securities industry. Must have Bachelor’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.

Additional info

Send copy of a cover letter and resume.

Company info

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

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