Just Compliance · 17 hours ago
Compliance Specialist
United States
Full-time
Remote
Entry Level
$50K/yr - $75K/yr
1+ years expJust Compliance is a nationwide compliance consulting firm for registered investment advisors, and they are seeking an energetic team member for the Compliance Specialist position. The role involves managing compliance projects, staying updated on regulatory changes, and ensuring positive relationship management with clients and team members.
Financial Services
Responsibilities
Make initial call with all maintenance participants to review required books, records
Pre-Audit prep for books and records
Update documents in response to audit findings
Draft written responses to audit findings accordingly
Answer client questions, advertising review
Stay abreast of regulatory changes
Update templates based on state, SEC feedback, regulatory changes, as well as for clarity
Annual Filings, Update ADV1 and ADV2 as well as any other documents depending on regulatory changes
Draft documents for RIA application to include form ADV2A, ADV2B and Investment Advisory Agreement
File documents for application to include form ADV Part 1 on IARD, form ADV Part 2 on IARD, from U-4 on IARD and state specific documents directly to state
Respond to Deficiency Letters for Application
Send Congratulation Letter and documents
Send Maintenance Program Email
Manage internal and external customer relationships
Partner with team members to ensure and maintain positive relationship management
Assist team members with elevated inquires
All other duties as assigned
Qualification
Required
Bachelor's degree or equivalent work experience
Basic knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules
Basic knowledge of SEC rules and regulation
Basic knowledge of compliance systems and controls
Basic knowledge of laws and regulations affecting business operations
Basic knowledge of SEC rules and regulation and how they apply to business practices for advisors
knowledge of RIA forms
Proficient knowledge with IARD/CRD system
Proficient knowledge of general compliance rules for RIAs
Proficient knowledge of Google Workspace
Proficient knowledge of SEC rules and regulation and how they apply to business practices for advisors
Proficient skilled in reviewing and auditing advisory business practices such as: correspondence, advertising, seminar review
Proficient organizational and prioritization skills with a high attention to detail
Proficient analytical, decision-making, and problem-solving skills
Proficient skill in understanding the big picture regarding regulations
Advanced verbal, oral, and written communication skills
Proficient ability to multi-task and set/achieve goals
Proficient ability to interpret and advise on the application of various laws and regulations
Preferred
FINRA Series 65 licenses
1+ years of State/SEC, RIA and Compliance experience
3+ years of experience in the financial services industry
Benefits
Bonus Compensation Opportunities
Flexible schedules
Casual dress code
Professional development
Company
Just Compliance
Just Compliance is a Minnesota based RIA compliance firm. We offer clients hourly, ongoing, flat-fee, and project based compliance services.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase