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Registration Compliance Associate

New York, NY

Opportunity

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.

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. Our services include accounting, bookkeeping, regulatory registrations, ongoing compliance consulting, and tax preparation and advisory.

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
  • 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

Requirements

  • 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
Apply