Opportunity 

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. 

Company

DFP Partners (formerly known as The SDDco Group) 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. 

Role:

• Establish and/or maintain a compliance program
• Drafting Compliance Manuals and Code of Ethics Procedures
• Assist with annual reviews
• Drafting Form ADV amendments
• Review marketing materials
• Assist in all regulatory examinations and inquires
• Participating in SEC mock exams

Requirements:

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