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IA Compliance Consultant – Associate Director

New York, NY

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
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