Compliance Associate

Title: Compliance Associate 

Location: Remote

Reports To: Director of RIA Consulting

Description: Synergy RIA Compliance Solutions provides Registered Investment Advisers with customized compliance solutions at an affordable price. We believe that the success of our consulting business is predicated on prompt responses to communications and building trusting relationships with clients. Synergy’s consultants foster a sense of confidence and authority with clients by applying their knowledge and expertise on an individualized basis.

Our goal is to serve our clients by creating a supportive, structured environment where individuals can work independently. We’re looking for someone who is proactive, communicates well, and is self-motivated to grow as the company grows.

Responsibilities: 

• Execute regulatory compliance supervisory tasks (email and trade reviews, drafting documents, executing filings on FINRA firm gateway, marketing reviews, etc.)

• Process incoming compliance forms; file accurately; take note of any exceptions

• Draft and file Form U4, Form U5, ADV Parts 1 and 2  

• Review and edit compliance program documents (Written Supervisory Procedures, Code of Ethics, etc.)

• Assist Compliance Consultants with annual compliance tasks (Financials Review, Suitability Review, Third-Party Vendor Due Diligence, etc.)

• Identify and report irregularities within a client’s compliance program 

• Communicate with Compliance Consultants and Senior Compliance Consultants on the status of their clients through the creation and delivery of reports

• Maintain an extremely high level of security and confidentiality

• Attend occasional client-facing meetings (required if interested in consultant track)

• Programs requiring a high level of aptitude: Microsoft Word, Microsoft PowerPoint, Microsoft Excel, Google Docs, Adobe PDF files

Qualifications: 

• Interest in RIA compliance rules and regulations

• Strong organizational, multi-tasking, and prioritizing skills

• Ability to take the initiative and work independently with minimal supervision in a structured environment

• High attention to detail, strong task prioritization skills and the ability to make decisions within the scope of your role 

• Previous experience working for a Registered Investment Adviser or Broker-Dealer 

• Previously held Securities Licenses such as Series 6, Series 7, Series 63, Series 66

• IACCP® designee 

Benefits and Compensation: 

• The base annual salary for this position ranges from $60,000 - $65,000, plus potential bonus opportunities based on company performance

• You can enroll in the employer sponsored 401k plan, Synergy matches up to 3%

• You get 15 days annual PTO, plus all 10 NYSE holidays, a total of 25 days throughout the year

• Your health / dental / vision insurance partially paid for by company 

• You can opt into disability insurance

• You can take up to 12 weeks of leave with our Parental Leave Policy

• If you are interested in earning your IACCP designation, we will pay for your training and examination 

Before applying for a position with Synergy RIA Compliance Solutions, please note the following: 

1. We are not a FINRA member firm. This is not the right fit if you plan to maintain your securities license(s).

2. We have a PTO blackout period from January 1 through March 31. 

3. We host an annual in-person retreat. Travel expenses are paid for by the company and attendance is mandatory.