What are the responsibilities and job description for the Registration Associate - Compliance position at DFP Partners?
Opportunity
Seeking a Registration Compliance Associate for a securities industry regulatory consulting firm to provide support to the firm’s registration and compliance group. Recent college graduates may apply as well as those with 1-2 years of compliance experience.
Company
DFP Regulatory Services, founded in 1999, is a compliance consulting firm which provides expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US arms of foreign banks. The firm’s parent company is DFP Partners, a CPA firm formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and Operations Principals.
Role:
· Advising clients and servicing registration inquiries via phone and email
· Processing Uniform Forms U-4 and U-5, Form BD, Form BR, Form ADV and various state forms
· Assist with monitoring licensing examination, continuing education, and fingerprint requirements
· Assisting consultants to manage client accounts
· Drafting client communications in collaboration with management
· Coordinating meetings and special projects
· Interact with various regulators (FINRA/SEC/State) on behalf of clients and DFP Partners
Requirements:
· Bachelor’s degree required
· Recent college graduates and those with a minimum of 1-2 years of compliance experience
· Working knowledge of industry rules and regulations
· Prior broker-dealer and registration experience a plus
· Ability to obtain FINRA licenses, such as the SIE, Series 7, and Series 24, and register with FINRA
Salary : $55,000 - $65,000