Opportunity

Seeking a compliance associate for a securities industry regulatory consulting firm to establish and/or
maintain the compliance program for its broker-dealer clients.

Company

DFP Regulatory Services LLC, founded in 1999, is a compliance consulting firm which provides expert
support to the financial services industry. Our client base includes broker-dealers, investment advisers,
privately held funds, and the US arms of foreign banks. The firm’s parent company is DFP Partners CPA,
P.C., a CPA firm formed in 1952 whose services include accounting, bookkeeping, and outsourced
Financial and Operations Principals.

Role:

• Assist in testing and executing compliance programs which may include supervisory control
• testing and mock examinations
• Assist in project work which may include branch inspections or remediation efforts as a result of
  a regulatory exam
• Support the activities of the firm’s consultants:
  o Development and maintenance of written policies and procedures
  o Development and maintenance of Business Continuity Plans and Continuing Education
  Plans
  o Drafting materials for annual compliance meetings
  o Drafting of CEO Certification Reports
  o Assisting in the support of client Anti-Money Laundering programs
  o Assist in day-to-day regulatory requirements such as email review and/or reviewing
  brokerage statements
  o Assisting clients with FINRA, SEC or state regulatory examinations
• Support the production and filing of FINRA New and Continuing Membership Applications
  o Drafting of Business Plans, Organizational Charts, Officer Biographies, and other
  documents needed for the filing
  o Participating in calls/meetings with clients and responding to inquiries/requests from
  those clients
  o Taking responsibility for ensuring all members of the working group are current on
  project progress and status
• Become knowledgeable in all aspects of our consulting business with an eye towards becoming
  a consultant

Requirements:

• Bachelor’s degree (Finance or related discipline preferred)
• 2-3 years compliance experience at a broker-dealer, regulator or consulting firm
• Some exposure to FINRA and/or the SEC in an examination setting a plus
• Email review and trade surveillance experience
• Ability to obtain FINRA registrations, such as the SIE, Series 7, and Series 24
• Ability to work independently, as well as, in a group
• Ability to multi-task, manage projects and time effectively
• Excellent communication skills, writing skills, interpersonal skills, etc.
• Adaptable personality (to work closely with a highly diverse client base and consultant staff)
• Ability to learn and navigate different vendor platforms (i.e., Global Relay, Hadrius, etc.)
• Some travel may be required
  Position open to candidates residing anywhere in the U.S.