Opportunity
Seeking a Registration Compliance Associate for a securities industry regulatory consulting firm to
provide support to the firm’s registration and compliance group. Recent college graduates may apply as
well as those with 1-2 years of compliance experience.
Company
DFP Regulatory Services, 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, a CPA firm
formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and
Operations Principals.
Role:
- Advising clients and servicing registration inquiries via phone and email
- Processing Uniform Forms U-4 and U-5, Form BD, Form BR, Form ADV and various state forms
- Assist with monitoring licensing examination, continuing education, and fingerprint
requirements - Assisting consultants to manage client accounts
- Drafting client communications in collaboration with management
- Coordinating meetings and special projects
- Interact with various regulators (FINRA/SEC/State) on behalf of clients and DFP Partners
Requirements:
- Bachelor’s degree required
- Recent college graduates and those with a minimum of 1-2 years of compliance experience
- Working knowledge of industry rules and regulations
- Prior broker-dealer and registration experience a plus
- Ability to obtain FINRA licenses, such as the SIE, Series 7, and Series 24, and register with FINRA
Benefits:
- Health plans, LTD insurance, Life Insurance, 401 K, PTO, Flex Spending & Commuter Program