What are the responsibilities and job description for the Financial Operations Coordinator position at HirefinderRPO?
Key Requirements
To succeed in this role, you must have excellent analytical abilities, effective research skills, and exceptional communication and interpersonal skills. You should also have a strong background in compliance and/or surveillance roles, as well as experience with industry compliance requirements and standards.
The ideal candidate will be able to analyze and evaluate regulations in the context of advisory operations and compliance policies, and assist with the development of advisory compliance policies and procedures. Proficiency with the Client Gateway and SEC EDGAR websites is also required.
Responsibilities
- Assist Compliance Consultants with completion of various compliance tasks for RIA clients.
- Research and stay current on industry compliance regulations and requirements.
- Analyze and evaluate regulations in the context of advisory operations and compliance policies.
- Assist with the development of advisory compliance policies and procedures.
- Update/Create the firm's compliance resources used with RIA clients and available for sale on the firm's Online Store.
- Develop and draft the firm's compliance publications and content for clients and subscribers.
- Maintain WordPress website including membership tracking and content posts as well as contact management and notifications via integrated MailChimp platform.
- Assist with RIA client State/Federal regulatory and registration/notice filing submissions.
- Maintain the firm's RIA client and compliance resource recordkeeping system.
