OSJ/RIA Compliance

OSJ/RIA Compliance

Establish Financial Planning firm in Lakewood, CO is looking for a compliance professional to join our team. This role is critical to the overall compliance initiatives of our firm, as well as the daily operations in support of the firm’s representatives. This position is ideal for an experienced compliance professional with a high level understanding of RIA compliance as well as broker dealer OSJ responsibilities. We are looking for a team player that enjoys a small office environment and will contribute to our team.

  • Email and Advertising compliance review
  • Review customer accounts and maintain current and accurate files
  • Annual AUM calculation
  • Work as a liaison between the RIA firm’s Advisors in the field and the firm’s account custodian
  • Review advisory and brokerage new account submissions for completion and accuracy and process new account information and documents
  • Day to day broker dealer operations and supervision of registered representatives
  • Trade Review for BD/RIA trades
  • Signature Guarantee requests & log review
  • Maintain written supervisory procedures and best practices
  • Perform compliance monitoring activities, risk assessments and testing as outlined in the Adviser’s and Funds’ Compliance Program and Oversight Procedures
  • Execute market trades with custodian in line with advisor-client investment planning instructions while upholding the firm’s fiduciary responsibilities
  • Assist regulatory filings; interact with regulators, as necessary, by requesting and/or providing information necessary to conduct regulatory compliance reviews and examinations.
  • BD Annual Audit
  • RIA Annual Audit
  • Review new laws and regulations and evaluate the impact of those changes.
  • Smarsh Email review
  • Maintain all systems related to assigned block of business, Excel tracking spreadsheets
  • Annual ADV update/client count
  • Conduct a routine billing review of advisory fees
  • Perform compliance audits for outside offices
  • Review/update licensing and registrations for the representatives and the RIA
  • Review quarterly personal securities transactions
  • Monthly Correspondence review and tracking
  • Maintain and update the annual privacy policy
  • RIA Risk Matrix annual completion
  • Social Media review LinkedIn, Facebook
  • Order ticket review
  • Maintain client files for the BD/RIA
  • Review and maintain appropriate gift logs, check logs, Non Cash Compensation
  • Review advisory accounts for high cash concentrations and inactivity
  • Monitor and execute trading instructions provided by 3rd party sub-advisors

** This job description is not intended to be an exhaustive list of all duties. Employee may perform other related duties as assigned.

Job Type: Full-time; flex time and fridays til 2pm

Pay: $60,000.00 - $100,000.00 per year

Benefits:

  • 401(k)
  • Flexible schedule
  • Health insurance
  • Life insurance
  • Paid time off
  • Vision insurance
  • Profit Sharing both retirement and bonus
  • Long term & short term disability
  • HSA benefits
  • Paid Holidays

Schedule:

  • Monday to Friday 8:30 to 5pm. Fridays til 2pm

Experience:

  • RIA operations: 3 years minimum

License/Certification:

  • Series 7, 65/66, 24 (Required)

*Please Note: Position stated below is open for immediate fill. We are not providing relocation assistance for this position at this time.

Job Type: Full-time

Pay: $60,000.00 - $100,000.00 per year

Benefits:

  • 401(k)
  • Dental insurance
  • Disability insurance
  • Flexible schedule
  • Health insurance
  • Health savings account
  • Life insurance
  • Paid time off
  • Retirement plan
  • Vision insurance

Schedule:

  • 8 hour shift
  • Monday to Friday

Supplemental Pay:

  • Bonus pay

COVID-19 considerations:
All employees have their own work space to allow for plenty of distance. no cubes

Ability to Commute/Relocate:

  • Lakewood, CO 80228: Reliably commute or planning to relocate before starting work (Preferred)

Experience:

  • Compliance: 3 years (Preferred)

License/Certification:

  • Series 7, 24,65 (Required)

Work Location:

  • One location

Work Remotely:

  • No
Posted
11/06/2021
Location
Denver, CO 80228, US
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