Compliance Specialist

Gradient Advisors, LLC - Arden Hills, MN (30+ days ago)


Gradient Financial Group, LLC is a leading nationwide financial services company consisting of
ten entities and is seeking a qualified candidate for Gradient Advisors, LLC a SEC Registered
Investment Advisory firm (RIA). This full‐time position reports to the company’s Chief
Compliance Officer and also works closely with the company’s President.
Specific responsibilities will include but not be limited to:

Compliance:
 Advertising review such as business cards, stationery, websites, and assist in seminar review
process
 Review advisor correspondence
 Collect/Review monthly/quarterly advisor reports and escalate to senior management as
needed
 Schedule/conduct orientation calls with new advisors to educate on regulatory obligations
and firm policies
 Process communications to advisors and/or clients from compliance
 Process communications to advisors from marketing and company President

Key Requirements / Skills / Experience:
 Knowledge of fee based investment advisory business or securities operation
 Knowledge of State/SEC compliance and/or supervisory procedures
 Series 65 registration or ability to obtain within 6 months.
 Ability to collaborate and interact with multiple business structures and the temperament
and skill to manage different types of personalities
 Ability to handle competing priorities, be self‐directed and able to manage workload and
make decisions
 Teamwork, excellent communication and analytical skills are essential
 Professional demeanor via telephone and electronic communications (e‐mail)
 Proficient in Word, Excel, Outlook, and PowerPoint

Preferred Education and Experience:
 Two‐five years experience working in the Broker Dealer (BD) or Registered Investment
Advisory (RIA) industry.
 Bachelor's Degree or relevant experience

Salary commensurate with experience, comprehensive benefits including health, dental, and
401(k) plan with employer match. Plus a fantastic culture which includes a game room with ping
pong, pool table, shuffleboard, Golden Tee, and Ms. Pac‐Man … just to name a few. Plus,
summertime is the perfect opportunity for grilling on the patio and playing bags with co‐workers.
Please include salary expectations and availability with cover letter and resume.

Job Type: Full-time

Experience:

  • SEC Compliance: 2 years
  • Material Review: 2 years

Education:

  • Bachelor's

License:

  • Series 65