Note: The job is a remote job and is open to candidates in USA. Just 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.
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
Skills
- 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
- 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 Overview
Just Compliance is a Minnesota based RIA compliance firm. We offer clients hourly, ongoing, flat-fee, and project based compliance services. It was founded in 2020, and is headquartered in Saint Paul, Minnesota, US, with a workforce of 2-10 employees. Its website is https://www.justcompliance.net.
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