This position will act as a resource for Compliance and business units on issues relating to RIA and Retirement Plan compliance. The candidate will assist with the continued development and enhancement of the Firm’s RIA compliance program to ensure adherence to the Adviser’s Act and applicable regulation. Additional duties extend to FINRA and DOL/ERISA compliance.
- Assist in the development and management of controls, systems, procedures, files, and records as required by SEC and state regulatory agencies.
- Assist in developing, updating and maintaining; written supervisor procedures, training material, compliance library of approved material, and compliance issued communications.
- Perform special projects as assigned.
- Assist with training of internal personnel and field force on advertising processes, procedures, and regulations.
- Assist to ensure company policies and procedures are followed.
- Communicate questions and concerns to/from representatives or home office staff to other Analysts and Management.
- Conduct research of regulations as needed.
- Assist in gathering data to support various IA and Retirement Plan initiatives, including but not limited to ADV updates, Fiduciary supervision, and ERISA compliance
- Data analysis of advisory and retirement plan accounts
- Review of Investment Advisory account billing in accordance with firm policy
- Maintain database tracking, exception reporting, and resolution
- Assist with ad hoc reporting as needed
- Serve as Compliance resource to management, advisors, and other departments as necessary
- Create and maintain strong working relationships with members of technology, operations, business, and compliance departments
- Other duties as assigned
- Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork
- Must understand, accurately interpret, and apply regulatory framework
- Communicate difficult messages with empathy
- Understand securities and retirement plan products as well as investment advisory services
- Be comfortable in high pressure, quick deadline situations
- Must demonstrate advanced knowledge of Microsoft Excel
- Must be able to read, analyze and reconcile rules to documents
- Individual must also possess good analytical skills, problem solving skills, and outstanding communication skills, both verbal and written
- Attention to detail is imperative
- Sound knowledge of, or ability to rapidly gain sound knowledge of, Advisory Rules and Regulations, including a working knowledge of the Investment Advisers Act of 1940
- Knowledge of, or ability to gain knowledge of, ERISA regulations
- Must demonstrate proficient use of Microsoft applications such as Word, Excel and Outlook.
- Must be able to read, analyze and reconcile client account records
- Capable of coordinating multiple projects/assignments and completing tasks timely and accurately
- Create processes around open ended projects
- Bachelor’s Degree preferred
- Minimum 1 year industry experience
- Excellent writing skills
- FINRA Series 7 required
- FINRA Series 65/66, and 24 or ability to obtain within 90 days
A brand new state of the art building in southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as Car Insurance, Legal services and more.