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Registration Associate

Opportunity

Seeking a Registration Compliance Associate for a securities industry regulatory consulting firm to provide support to the firm’s registration and compliance group. Recent college graduates may apply as well as those with 1-2 years of compliance experience.

Company

DFP Regulatory Services, founded in 1999, is a compliance consulting firm which provides 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. The firm’s parent company is DFP Partners, a CPA firm formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and Operations Principals.

Role:

  • Advising clients and servicing registration inquiries via phone and email
  • Processing Uniform Forms U-4 and U-5, Form BD, Form BR, Form ADV and various state forms
  • Assist with monitoring licensing examination, continuing education, and fingerprint requirements
  • Assisting consultants to manage client accounts
  • Drafting client communications in collaboration with management
  • Coordinating meetings and special projects
  • Interact with various regulators (FINRA/SEC/State) on behalf of clients and DFP Partners

Requirements:

  • Bachelor’s degree required
  • Recent college graduates and those with a minimum of 1-2 years of compliance experience
  • Working knowledge of industry rules and regulations
  • Prior broker-dealer and registration experience a plus
  • Ability to obtain FINRA licenses, such as the SIE, Series 7, and Series 24, and register with FINRA

Benefits:

  • Health plans, LTD insurance, Life Insurance, 401 K, PTO, Flex Spending & Commuter Program

Compensation:

  • $55,000 to $65,000 annually
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