NextPath Career Partners is currently seeking a Compliance Advisor to join our client’s team in St. Petersburg, FL. This is an onsite, direct position.
SALARY: $70-$120K (depending on experience)
- Bachelor’s degree or equivalent experience
- Minimum 2-5 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs
- Knowledge of the Investment Advisers Act of 1940 and ERISA
- Familiarity with regulatory and operational framework of RIAs
- Some experience with the creation, formation, and launch of investment adviser entities.
- Superior communication skills, written and spoken, for both one to one and larger audiences
- Self-starter that can independently take a project and move it forward without manager intervention.
- Strong attention to detail and analytical skills
- Able to manage multiple tasks in a fast-paced business environment
- Some domestic travel to visit the offices of the Network RIAs, as necessary
- Support the Network Compliance team and our Network of independent RIAs; assist the Network Compliance team in driving our Compliance Offering
- Project management of process improvement initiatives taking independent lead with support from team leader
- Assist in developing compliance best practices for our Network of RIAs
- Interact with our compliance resource providers and assist in achieving quality and uniformity in the deliverables
- Assist in performing ongoing diagnostic reviews of the Network RIA compliance programs and regulatory exams
- Follow up on internal and regulatory deficiencies within the Network to help ensure proper procedures and controls are in place
- Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
- Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and our management
- Assist in training internal and Network Compliance employees on compliance policies and procedures
- Assist Network RIAs with SEC exams
- Draft and file a wide array of state and SEC filings, including: Form ADV, 13F, 13H, Form U4 and Form U5.
- Comfort presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded trainings
NEXTPATH CAREER PARTNERS:
NextPath is a candidate centric recruiting firm focused on your career goals to help you find your next path! Our team of professional recruiters have over 80 years of combined experience to help you navigate a job change. Our clients span local and national with roles in sales, creative, marketing, and staffing on a direct, contract-to-perm, and contract (project) basis.
If the position above doesn’t appear to fit, we do have a host of clients with roles that could be a match and not every position will be posted. Feel free to reach out to find a better match by emailing your resume to email@example.com for a recruiter to engage.
We are an Equal Opportunity Employer
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