What are the responsibilities and job description for the RIA Compliance Consultant 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 remote Compliance Consultant to provide and guide our clients with comprehensive compliance services.

Specific responsibilities include :

Consult and manage clients through onboarding including the state and SEC registration process.
Manage all state inquires and develop responses for clients.
Develop and maintain compliance documentation for clients including business continuity plans, compliance manual and policies.
Provide ongoing support to clients in compliance, transfers and annual amendments.
Manage continuance in membership applications for client with FINRA including changes in ownership, personnel changes / additions, other changes with FINRA.
Monitor client accounts to proactively address needs.
Manage social media for RIA Compliance Concepts including advertising, podcasting, blogs, and graphic design as needed.
Create, maintain and organize electronic filing systems.
Other duties as assigned.

More about you :

3 years experience in the Financial Industry

Investment Adviser Certified Compliance Professional (IACCP) or Certified Regulatory and Compliance Professional (CRCP) preferred.

Knowledge of financial services, brokerage or investments industry

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.

Experience with My Case or any project management software

FINRA experience a plus

Google Docs, Survey Monkey, Mail Chimp, Canva, Loomly, Wavve experience a plus

Background investigation required

This is remote position.

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