Working at AdvisorAssist.
We are always looking for experienced industry professionals to join our family. Our professionals and partners average over 15 years of practical industry experience, which is the core of our firm value. Our team is comprised of industry professionals that have served in senior roles in many premier financial services organizations.
If you are an experienced, results-oriented professional with an entrepreneurial spirit, we would like to hear from you.
Current Openings
Compliance Specialist Opportunity
Job Title: Registration and Compliance Specialist
Department: Investment Advisor Registration and Compliance
Reports to: SVP, Registration and Compliance
Basic Function
Responsible for interacting with clients to perform Investment Advisor registration work until firm and Investment Advisor Representative(s) are successfully registered and approved by the
State or SEC regulators. Investment Advisor compliance consulting may be required.
Responsibilities
The Registration and Compliance Specialist shall serve as the project manager and primary client liaison with RIA registration clients. Responsibilities will include:
- Working directly with new registration clients to assemble, prepare and file all SEC and/or state registration documents and Forms U-4 for the firm and individuals associated with the appropriate regulatory authorities;
- Researching state and/or SEC rules and regulations for each registration and provide guidance to clients;
- Responding to regulators questions and comments concerning the registration applications and work with regulators through approval of the registration;
- Drafting initial customized compliance programs and client agreements for the registration clients including written supervisory procedures, business continuity program, code of ethics, and privacy policy;
- Maintaining firm records, calendars and project workflows on various proprietary and cloud-based systems as well as Microsoft Office;
- Tracking project time appropriately and accurately, where applicable;
- Using creative thinking to brainstorm products and services that could add value to client relationships;
- Planning and organizing priorities while maintaining highest level service possible to clients, and managing projects and goals within deadlines;
- Attending conferences and meetings as requested; and
- Performing other duties as assigned.
During peak periods, the Registration and Compliance Specialist will also support the annual ongoing compliance needs of clients and shall be responsible for monitoring changes in securities regulations.
Education/Training
Degree: Bachelor’s Degree
Experience
Previous investment advisor compliance background working with investment advisors and Investment Advisor Representatives is preferred.