We are looking for analysts/officers to perform day-to-day compliance testing for clients. The compliance analyst will do everything from email review to advertising review, billing review, filing 13Fs, reviewing client files, and more. The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs.
The ideal candidate loves talking to people, has an eye for detail, great critical thinking skills, and holds themselves to a high standard of work product and professionalism. Must have a willingness to learn and an understanding of technology to thrive in a remote environment. If you are hungry, humble, and smart, we want you!
Responsibilities
* Support the compliance manager
* Handle amendments to Form ADV and other IARD/CRD filings (e.g, U4, U5) and Edgar-based filings (e.g., 13F, 13H)
* Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
* Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
* Assist with the RIA annual updating amendment/renewal process
* Coordinate with colleagues (including those in client-facing roles) and directly with RIA clients (as needed)
* Conduct RIA compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.
* Draft compliance manuals, code of ethics, business continuity plans, and cybersecurity policies, and can review and analyze them for required updating
* Understands SEC rules and regulations and how they apply to advisers
* Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file
* Register new firms as independent investment advisers
* Performs other duties and projects as needed
Qualifications
* Extensive previous experience with Form ADV and other regulatory documents
* Someone fanatical about client experience with a dedication to client responsiveness
* Passion for working in a fast-paced, small company environment
* Solution-oriented mindset
* RIA regulatory and/or NASAA experience
* Excellent written, organizational, and follow-up skills
* At least 3 years of experience working for a law firm
* Attention to detail, with the ability to analyze data, identify trends, and escape matters appropriately
* Must demonstrate strong critical thinking skills and curiosity
* Organizational and time management skills; ability to multitask
* Strong written and oral communication skills among different business audiences
* Customer service-oriented
* Accountability is not a problem and consistently meets and surpasses expectations
Compensation
$60,000 - $90,000 yearly
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