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OnePoint BFG Wealth Partners · 1 day ago

Compliance Associate

Parsippany, NJ

Full-time

Onsite

Mid Level

3+ years exp

OnePoint BFG Wealth Partners is a leading independent Registered Investment Advisor firm dedicated to providing top-tier financial advice and investment strategies. The Compliance Associate is responsible for supporting the firm’s compliance program by ensuring adherence to regulatory requirements and internal policies, including monitoring financial activities and conducting audits.

FinanceFinancial ServicesProfessional Services

Hiring Manager

Brandi Antonucci

Responsibilities

Draft policies and regulatory documents

Work with the CCO for Annual ADV Update including, providing data

Help with the day-to-day supervision of the RIA

Perform testing of policies and procedures

Review Email/Text

CRD and Registrations

Perform 13F review and analysis

Review and Approve Marketing and Advertising including websites, social media

Draft ADV 2Bs

Annual State Renewals Process

Review and approve OBAs, Political Contributions, Personal Securities Transactions, Gifts, Employee accounts at other firms, front running

Responsible for the ADV Mailing

Monitor and review the Annual Client Reviews

Monitor accounts with Missing suitability information

Responsible for maintaining Books and Records for the department

Bleakley Employee Tracking/Org Charts – Update/Manage key data for employees. Tracking titles, registration status, designations, etc

System Management of Orion Compliance

Adding and Removing Users; Initial Profile Setup

Initial Onboarding Attestations

Creation and maintenance of all attestations, questionnaires, and forms

UMA Site - Provide updated ADV and other material to Marketing Coordinator to update via website

Qualification

Financial regulationsCompliance management softwareAnalytical skillsSeries 65Certified Regulatory Compliance ManagerData analysisMicrosoft OfficeAttention to detailWritten communicationVerbal communication