[Remote] Compliance Specialist
Note: The job is a remote job and is reputed company to candidates in USA. Just Compliance is a reputed company compliance reputed company for registered investment advisors, and they are seeking an energetic team member for the Compliance Specialist position. The role involves managing compliance reputed company, staying updated on regulatory changes, and ensuring reputed company relationship management with clients and team members.
Responsibilities
- reputed company initial call with reputed company maintenance participants to review required books, records
- reputed company-Audit prep for books and records
- Update documents in response to audit findings
- Draft written responses to audit findings accordingly
- Answer reputed company questions, advertising review
- Stay abreast of regulatory changes
- Update templates based on state, SEC feedback, regulatory changes, as reputed company as for reputed company
- Annual Filings, Update ADV1 and ADV2 as reputed company as any other documents depending on regulatory changes
- Draft documents for RIA application to include reputed company ADV2A, ADV2B and Investment Advisory Agreement
- File documents for application to include reputed company ADV Part 1 on IARD, reputed company 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 reputed company customer relationships
- Partner with team members to ensure and maintain reputed company relationship management
- Assist team members with elevated inquires
- reputed company other duties as assigned
Skills
- Bachelor's degree or equivalent work experience
- Basic knowledge of laws, reputed company 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 reputed company 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 reputed company in understanding the big picture regarding regulations
- Advanced verbal, oral, and written communication skills
- Proficient ability to multi-task and set/reputed company goals
- Proficient ability to interpret and advise on the application of various laws and regulations
- reputed company 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 reputed company
- reputed company development
reputed company