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Years of Experience
Compliance Consultant & Examiner The candidate will maintain and service current client relationships. The position will involve assisting Registered Investment Advisers (â€œRIAâ€s) on-going regulatory compliance obligations for a range of investment advisers. The position includes: On-the-job training; Travel to RIA offices across the United States to conduct branch audits (Up to 30% travel required); Ensure clients are adhering to SEC and FINRA rules and regulationsâ€™; Heavy client contact, legal research and document drafting; 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; Overtime as needed.
Qualification and Experience
The candidate should have Bachelorâ€™s Degree. Business Major, Finance Major, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program. 1 â€“ 2 year of Compliance and/or Auditing experience preferred. Series 7, and/or Series 24, Series 66 or 65 optional (will hold securities licenses) is needed. Working knowledge of Investment Advisor's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules preferred. ERISA and DOL (Department of Labor) knowledge in the area of retirement plans is a plus. Should have expertise in the Microsoft Office Suite.
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