Current Openings

Registration and Compliance Specialist

Department: Investment Advisor Registration and Compliance

Reports to: SVP, Registration and Compliance

FLSA: Exempt

Summary

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 registration clients to prepare and file all SEC and state registration documents 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 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, including calendars, project workflows and status, accounting records and time reporting;
• Assisting ongoing clients with compliance questions and other needs;
• Using creative thinking to brainstorm new services that add value to client relationships;
• Assisting in enhancing internal workflow and processes;
• Planning and organizing priorities while maintaining highest level of service to clients;
• Multitasking and managing multiple projects and within deadlines;
• Attending conferences and meetings as requested; and
• Performing other duties as assigned.

Requirements

• Strong knowledge of the investment management industry and related securities laws
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
• Ability to work independently and as part of a team
• Customer-focused attitude; professional demeanor
• Time management and organization skills with a strong attention to detail
• Strong written communication and oral communication skills

Education & Experience

• 1 – 2 years of relevant experience preferred including consulting, fund accounting, fund administration, compliance or other financial services experience
• Bachelor’s degree, preferably in a related field