A well-established CPA & consulting firm in Midtown NYC seeks a REGISTRATION COMPLIANCE ASSOCIATE. Recent college graduates may apply and those with 1-2 years of compliance experience to provide support to the Firm’s registration and compliance group.
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. Our services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory.
- 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
- Assisting in the development and maintenance of WSPs, AML WSPs, Continuing Education Plans and Business Continuity Plans.
- Assisting in FINRA Licensing Examination scheduling
- Assisting consultants to manage client accounts
- Drafting client communications in collaboration with management
- Coordinating meetings and special projects
- Bachelor’s degree required
- Recent college graduates and those with a minimum of 1-2 years of compliance experience
- Working knowledge if industry rules and regulations
- Prior broker-dealer and registration experience a plus