Concord, New hampshire
Compliance Associate - Investment Advisor Job Opening in Concord, New hampshire - Summary
Responsible for supporting senior compliance consultant staff in the delivery of expert advice to investment advisers regarding SEC and/or state regulatory requirements and regulatory best practices.
Location
Concord, NH or Londonderry, NH
Responsibilities
The Compliance Associate shall assist senior compliance consultants in providing regulatory compliance consulting services to investment advisers. Responsibilities will include:
Working directly with investment adviser clients to deliver guidance and advice that is consistent with SEC and/or state regulatory requirements and regulatory best practices
Providing administrative support services to senior compliance consultants
Processing IARD/CRD and/or EDGAR regulatory filings
Assisting in the preparation of regulatory documents such as Form ADV, Form U4/U5, and written policies and procedures
Researching SEC and/or state rules and regulations and communicating guidance to clients
Corresponding with securities regulators to research regulatory requirements
Preparing response letters to state and federal examiners on behalf of clients
Maintaining firm records (calendars, project workflows and status updates), accounting records and time reporting
Assisting clients with compliance questions and other needs
Assisting in enhancing internal workflow and processes
Planning and organizing priorities while maintaining highest level of service to clients
Multitasking and managing multiple projects and within deadlines
Attending conferences and meetings as requested
Performing other duties as assigned
Requirements
Strong knowledge of the investment management industry and related securities laws, especially the Investment Advisers Act of 1940.
Strong relationship management skills
Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
Ability to work both independently and as part of a team
Customer-focused attitude
Time management and organization skills with a strong attention to detail
Strong written communication and oral communication skills
Education & Experience
3-6 years of relevant experience, including consulting, RIA compliance, or other financial services compliance experience
Experience with IARD/CRD systems preferred
Bachelor?s degree, preferably in a related field
Job Type: Full-time
Required education:
Bachelor's
Required experience:
Consulting: 3 years
Investment Advisor: 3 years
IARD/CRD: 3 years
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