Investment Advisor Compliance Associate jobs in United States
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DFP Partners · 16 hours ago

Investment Advisor Compliance Associate

positionUnited States
timeFull-time
remoteRemote
seniorityEntry, Mid Level
money$80K/yr - $95K/yr
date2+ years exp

DFP Partners is a compliance consulting firm that provides expert support to the financial services industry. They are seeking a compliance associate to establish and maintain the compliance program for its investment advisor clients, supporting the activities of the firm’s consultants in various compliance-related tasks.

AccountingAdviceComplianceFinancial Services

Responsibilities

Development and maintenance of written policies and procedures, including code of ethics
Drafting materials for annual compliance trainings and new hire supervised person trainings
Drafting and assisting with Rule 206(4)-7 annual reviews
Drafting and amending ADVs, including Part 2A, Part 2B and Form CRS
Assisting clients with electronic communications surveillance
Assisting in distributing and collecting quarterly transaction reports and annual holdings
Assist in marketing reviews pursuant to 206(4)-1 Marketing Rule
Develop and maintain compliance calendars
Update and maintain business continuity plans for clients
Participate in calls/meetings with clients and responding to inquiries/requests from those clients
Become knowledgeable in all aspects of our consulting business with the goal of eventually becoming a consultant

Qualification

Compliance experienceInvestment advisor knowledgeSEC examination exposureProject managementCommunicationWriting skillsInterpersonal skillsAdaptable personality

Required

2-3 years compliance experience at an investment advisor firm, regulator or consulting firm
Ability to work independently, multi-task, manage projects and time effectively
Excellent communication skills, writing skills, interpersonal skills, and a strong presence
Adaptable personality (to work closely with a highly diverse client base)

Preferred

Bachelor's degree (Finance or related discipline preferred)
Some exposure to SEC in an examination setting a plus
Some travel may be required
Position open to candidates residing anywhere in the U.S

Company

DFP Partners

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DFP Partners is a financial service firm that offers financial accounting, compliance, and startup advisory services.
dateFounded in 1952
location
New York, New York, USA
people-size51-200 employees
web-link
https://dfppartners.com

Funding

Current Stage
Growth Stage

Leadership Team

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Andrew Miller
Partner, CPA
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Dmitriy Rutitskiy
Accounting Partner
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Company data provided by crunchbase