What are the responsibilities and job description for the RIA Compliance Associate position at RIA Compliance Concepts?

Job Description

RIA Compliance Concepts offer consummate support to registered investment advisers via assistance with their compliance program and requirements. Over several years in business, we have earned a reputation as one of the most responsive and reliable RIA compliance consultant companies in the region. We leave no stone unturned and take care of all of our client's compliance needs, keeping them in the good graces of even the most complicated regulatory bodies. Our firm is here for everything from registration assistance to renewal and amendment services, all the way to annual risk assessments.

RIA Compliance Concepts is seeking a full time Compliance Associate to provide and guide our clients with comprehensive compliance services.

Specific responsibilities include :

Consult and advise clients on all compliance related matters.
Consult and manage clients through the state and / or SEC registration process.
Develop client compliance systems and protocols to meet with state and federal regulatory requirements.
Conduct internal audits and compliance reviews including advertising / sales literature and email reviews.
Prepare clients for regulatory audits and investigations.
Act as a liaison with clients and regulators.
Prepare and respond to document requests and inquiries from regulators.
Keeping clients informed of new / updated compliance regulations.
Other duties as assigned.

More about you :

Bachelor's Degree in Finance, Business, Communication, English, Math, Government required. MBA or MPA preferred

1 years of experience in RIA Compliance (as Regulator, or RIA Compliance Consultant)

Extensive knowledge of FINRA rules and regulations, as well as applicable SEC rules.

Experience working with FINRA, SEC, and State regulators during and after financial examinations and audits.

A high level of professionalism and an appreciation for the confidentiality and sensitivity of information received and handled.

Outstanding customer service skills.

Excellent written and oral communication skills.

Ability to manage multiple tasks and maintain the necessary attention to detail in a fast-paced environment.

Ability to organize time and perform tasks with minimal direction.

Aptitude for technology, embrace change, and have a desire to learn.

Proficiency in MS Office, Google Docs and Project Management software, experience with My Case a plus

Ability to travel overnight up to 25%

Background investigation required

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RIA Compliance Consultant

RIA Compliance Concepts

Austin, TX Full Time

Job Description Job Description RIA Compliance Concepts offer consummate support to registered investment advisers via a...

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What are the responsibilities and job description for the RIA Compliance Associate position at RIA Compliance Concepts?

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