Position SummaryWell established SEC registered I nvestment Advisory Firm with over 150 offices throughout the United States, is currently looking to hire a Compliance Transition Specialist to join the team. They are a multi-custodial firm and clear through all of the major custodial platforms.Your position, as a Compliance Transition Specialist, is to support the Chief Compliance Officer in all aspects of the firm's financial advisor registration program. Your knowledge of CRD and IARD systems, procedures and regulatory requirements allows you to perform and/or facilitate specific components of the registration program. You will work independently and in conjunction with other members of the firm's compliance and operations team to help facilitate new advisor transition and resolve problems. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have proven written and verbal communication skills. We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. We are an equal opportunity employer offering a competitive salary and benefit package.Key TasksAssist Chief Compliance Officer with the firm's new Financial Advisor onboarding program, including brochure supplement creation, compliance attestations and registration.Preparation and submission of Financial Advisor Form(s) U4 and U5.Educate and assist new Financial Advisors on compliance proceduresReview daily exception reports and alerts and process accordinglyReview Financial Advisor attestations and reportsProactively review Financial Advisor email communications and elevate any concerns to the Chief Compliance OfficerInteract with Compliance Team and advisors to help resolve potential compliance issuesPay close attention to detail, process work accuratelyProactively develop self to continuously improve knowledge and skills and communicate development needs to the Chief Compliance Officer as applicableSkills and Experience Required5 years of investment advisory or FINRA member broker/dealer compliance experienceUnderstanding of the regulatory environment with respect to investment advisers, including the Investment Advisers Act of 1940Excellent skills in Microsoft Office Suite and other technologiesDetail and service oriented with proven organizational skills, able to manage time efficiently and can multi-taskProven written and verbal communication skillsAbility to work both independently and collaborativelyLearning agile, able to adapt quickly and appropriately with the evolutionof regulatory requirements#J-18808-Ljbffr
