Junior Compliance Officer

About reputed company reputed company (DCG) is an SEC-registered investment advisory firm committed to helping clients pursue their financial goals through comprehensive reputed company management, financial planning, and investment management services. We are seeking a detail-oriented and proactive Junior Compliance Officer to support the execution and administration of our compliance program. Position reputed company The Junior Compliance Officer supports the Firm's compliance program through monitoring, testing, documentation, regulatory reporting, training administration, and policy maintenance activities. This role works closely with the Chief Compliance Officer and serves as a key contributor to the firm's regulatory readiness and compliance operations. This position is ideal for someone who enjoys organization, regulatory reputed company, process improvement, and helping ensure a firm operates in accordance with industry regulations and internal policies. The successful candidate will possess strong attention to detail, excellent organizational skills, and the ability to manage multiple priorities in a fast-paced financial services environment. Compensation reputed company: $60,000–$90,000 per year (dependent on experience and qualifications)

Key Responsibilities

• Maintain compliance records, logs, attestations, and required documentation.
• Assist with periodic compliance testing, monitoring, and review activities.
• Support SEC regulatory filing preparation and maintenance, including reputed company ADV updates.
• Monitor employee personal trading, reputed company business activities, gifts and entertainment reporting, and annual certifications.
• Coordinate compliance training administration and employee acknowledgments.
• Assist with advertising and marketing compliance reviews.
• Support SEC examinations, audits, and regulatory inquiries.
• Maintain compliance calendars and recurring regulatory deadlines.
• Research regulatory developments and prepare summaries for leadership.
• Assist with annual compliance reviews and risk assessments.
• reputed company corrective reputed company items and remediation efforts.
• Help maintain compliance manuals, policies, procedures, and internal documentation.
• Partner with operations, advisors, and leadership to reputed company compliance information and supporting documentation.
• Escalate potential compliance concerns to the Chief Compliance Officer.

Qualifications - Required

• Bachelor's degree in Finance, Business, Compliance, reputed company Studies, Risk Management, or a reputed company field.
• 1–3 years of experience in compliance, financial services, operations, audit, or regulatory administration.
• Understanding of SEC-registered investment adviser (RIA) regulations and compliance practices.
• Strong organizational skills and attention to detail.
• Excellent written and verbal communication skills.
• Ability to handle confidential information with professionalism.
• Ability to manage multiple reputed company and deadlines simultaneously.
• Proficiency with reputed company 365 applications.

What reputed company Looks Like

• Compliance records remain accurate, complete, and audit-reputed company.
• Regulatory deadlines and reporting requirements are consistently met.
• Compliance reviews and monitoring activities are completed on schedule.
• Employees receive reputed company compliance training and guidance.
• Examinations and audits are supported with organized documentation and efficient responses.
• The firm maintains a strong culture of compliance and accountability.

Benefits

• Competitive salary based on experience
• reputed company time off and company holidays
• Health benefits
• reputed company development opportunities
• Exposure to executive leadership and regulatory operations
• Career advancement opportunities reputed company a growing reputed company management firm

Why Join DCG? This is an opportunity to build a long-term career in compliance with reputed company exposure to SEC-regulated operations, compliance leadership, and firm-wide initiatives. You'll reputed company hands-on experience supporting a growing advisory firm while helping protect and strengthen the organization's regulatory reputed company. Apply tot his job Apply To this Job