Registration Analyst
closedCOMPLY
π΅ $55k-$65k
πRemote - United States
Job highlights
Summary
COMPLY. is seeking a Registration Analyst to join their team. This person will assist financial services firm customers with registration and regulatory matters, and work with COMPLY's proprietary software. The ideal candidate should be detail-oriented, skilled in problem-solving, have excellent interpersonal skills, and proficient in Microsoft Office Suite. The estimated base salary range for this role is $55,000-$65,000.
Requirements
- Skilled in problem-solving and analytical thinking
- Ability to multitask and perform complex responsibilities across multiple projects
- Excellent interpersonal skills, including managing relationships with stakeholders at all levels
- Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce
Responsibilities
- Assist investment advisers with the State and SEC registration process
- Gather all material information regarding investment advisers business model
- Accurately draft and file all necessary documents related to the firm's registration
- Understand regulatory requirements for state jurisdiction(s) and SEC
- Communicate with State and SEC regulators on behalf of our clients during the jurisdiction's registration review process
- Make timely and accurate revisions to all appropriate documents and filings in response to regulatory comments and requested updates
- File initial ADV filings and other-than-annual amendments for Form ADV
- Process applications for new investment adviser firms and investment adviser representatives, including Form U4
- Review disciplinary matters affecting customers for proper DRP disclosure
- Coordinate with COMPLYβs internal compliance experts, client services representatives, and other departments
- Attend team meetings and provide regular reporting to supervisor
- Work with COMPLYβs proprietary software, including MyRIACompliance and ComplianceGuardian
- Assist your New Registration team with various other tasks as assigned
Preferred Qualifications
Experience with FINRA/IARD, WebCRD, and SECβs EDGAR system is a plus
Benefits
Employees have access to comprehensive benefits, unlimited PTO, paid bonding leave, and 100% remote work flexibility with a WFH stipend
This job is filled or no longer available
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