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