Investment Advisor Compliance Associate

Opportunity Seeking a compliance associate at a securities industry regulatory consulting firm to establish and/or maintain the compliance program for its investment advisor clients. Company DFP Regulatory Services, founded in 1999, is a compliance consulting firm which provides expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US arms of foreign banks. The firm’s parent company is DFP Partners, a CPA firm formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and Operations Principals. Role: Support the activities of the firm’s consultants: • 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 Requirements: • Bachelor’s degree (Finance or related discipline preferred) • 2-3 years compliance experience at an investment advisor firm, regulator or consulting firm • Some exposure to SEC in an examination setting a plus • 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) • Some travel may be required • Position open to candidates residing anywhere in the U.S. Pay: $80,000.00 - $95,000.00 per year Benefits: • 401(k) • 401(k) matching • Dental insurance • Flexible spending account • Health insurance • Life insurance • Paid time off • Vision insurance Work Location: Remote Apply tot his job Apply To this Job