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IA Compliance Consultant – Associate Director


Seeking a compliance consultant with Investment Advisory (IA) expertise for a Securities Industry Regulatory consulting firm to establish and/or maintain the compliance program for IA clients.


DFP Partners is a CPA firm, formed in 1952, known for providing 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. DFP services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory.


  • Establish and/or maintain a compliance program
  • Draft Compliance Manuals and Code of Ethics Procedures
  • Assist with annual reviews
  • Draft Form ADV amendments
  • Serve as Chief Compliance Officer for clients in limited circumstances
  • Review marketing materials
  • Assist in all regulatory examinations and inquires
  • Participate in SEC mock exams


  • Annual compensation: $120,000 to $150,000


  • 3-5 years of direct IA experience
  • Demonstrated understanding of the Investment Advisors Act of 1940
  • Experience in various types of IA Business lines is a plus
  • Serve as Chief Compliance Officer for clients in limited circumstances
  • Solid analytical and research skills
  • Bachelor’s degree in a related field
  • Excellent communication skills (written and verbal)
  • Strong attention to detail
  • Highly organized
  • Broker/Dealer Compliance Experience a plus
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