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 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
- 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
Salary:
- Annual compensation: $120,000 to $150,000
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 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