Director of Compliance
hace 8 días
Arden Hills
Job Description Are you detail oriented, compliance-savvy, and passionate about helping Financial Services Professionals navigate regulatory requirements? If you thrive on reviewing documents, managing filings, and providing clear guidance to advisors, this could be the opportunity for you. Gradient Financial Group is a financial services organization with twelve specialized entities, including RIA Registrar, which supports Registered Investment Advisories (RIAs) and Financial Services Professionals nationwide with compliance, regulatory filings, and operational guidance. What You’ll Do • Make initial call with all maintenance participants to review required books, records, • Pre-Audit prep for books and records, • Update documents in response to audit findings, • Draft written responses to audit findings accordingly, • Answer client questions, advertising review, • Stay abreast of regulatory changes, • Update templates based on state, SEC feedback, regulatory changes, as well as for clarity, • Annual Filings, Update ADV1 and ADV2 as well as any other documents depending on regulatory changes, • Draft documents for RIA application to include form ADV2A, ADV2B and Investment Advisory Agreement, • File documents for application to include form ADV Part 1 on IARD, form ADV Part 2 on IARD, from U-4 on IARD and state specific documents directly to state., • Respond to Deficiency Letters for Application What you Bring • Bachelor’s degree or equivalent work experience – Required, • FINRA Series 65 or 7/66 licenses – Required, • 1+ years of State/SEC, RIA and Compliance experience – Preferred, • 3+ years of experience in the financial services industry – Preferred, • Basic knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules – Preferred, • Basic knowledge of SEC rules and regulation – Preferred, • Basic knowledge of compliance systems and controls – Preferred, • Knowledge of RIA forms – Preferred, • Proficient knowledge with IARD/CRD system – Preferred Our Benefits • Competitive compensation and comprehensive benefits, • 4 weeks of accrued PTO, plus 9 paid holidays, • Medical, dental, vision, life insurance, and 401(k), • 8 hours of paid volunteer time off (VTO), • Ability to work in-office four days per week with one remote workday, • Ongoing professional development and training, • A collaborative team that values expertise, initiative, and growth Why You’ll Love Working Here At Gradient, we set high expectations, but we back them with support, collaboration, and opportunities to grow. If you’re positive, driven, and enjoy working alongside motivated teammates, you’ll feel right at home. Company DescriptionAt RIA Registrar, LLC, we create strategic partnerships to provide compliance and administration solutions that enable you to operate in good standing. We help your business understand the language of compliance and work relentlessly to make sure your company is ready to be an independent RIA. Our high-quality services allow you to concentrate on taking care of clients while helping to ensure you are not in violation of any regulations.At RIA Registrar, LLC, we create strategic partnerships to provide compliance and administration solutions that enable you to operate in good standing. We help your business understand the language of compliance and work relentlessly to make sure your company is ready to be an independent RIA. Our high-quality services allow you to concentrate on taking care of clients while helping to ensure you are not in violation of any regulations.