Registered Salesperson

Overview LCV Management LP is an investment firm incorporated in the state of Delaware, managing both $500 Million Catalyst Fund and wealth management of UHNIs and Single-Family Offices. Role Description The Registered Salesperson will assist clients in managing their financial planning and investment needs, develop tailored investment strategies, and provide expert financial advice. Key Responsibilities Ensuring exceptional customer service to meet client satisfaction Qualifications & Experience Extensive experience in SEC regulatory compliance Prior experience serving as Registered Sales Person Strong working knowledge of: Investment Advisers Act of 1940 SEC rules, guidance, and enforcement trends Compliance monitoring and risk assessment frameworks Excellent written and verbal communication skills Ability to work independently Regulatory & Compliance Deliverables Adherence to the firm’s Compliance Manual and Code of Ethics Timely personal trading disclosures and attestations Accurate client suitability assessments and documentation Proper maintenance of client records and notes Participation in mandatory compliance training Prompt escalation of any potential compliance breaches Client Advisory Deliverables Conduct client onboarding in compliance with SEC suitability and fiduciary standards Prepare and maintain Investment Policy Statements (IPS) where applicable Provide compliant investment recommendations aligned with client objectives Deliver timely and accurate client communications and disclosures Maintain regular client contact and documented review meetings Ensure proper handling of client complaints and inquiries Documentation & Recordkeeping Maintain detailed records of: Client meetings Advice provided Ensure records comply with SEC Books & Records Rules Update client information (KYC, risk tolerance, financial profile) periodically Business Conduct & Ethics Act in the best interest of clients at all times (fiduciary duty) Avoid conflicts of interest or disclose them appropriately Ensure all marketing and communications are fair, balanced, and not misleading Comply with restrictions on testimonials, performance claims, and advertising KPIs (Critical) Number of documented client review meetings conducted annually Timeliness of client responses Accuracy and completeness of client files Assets under management (AUM) growth (if applicable) Net new client relationships Contribution to firm initiatives (research, process improvement, training) 0 material compliance violations 100% on-time completion of compliance attestations No unresolved SEC or internal audit findings Timely completion of required regulatory training (100%) Preferred Qualifications Experience with family offices, private funds, or alternative investments Bachelor’s degree in finance, Economics, Business, Accounting, or related field Advanced degrees (MBA, MS Finance, etc.) are a plus. Strong working knowledge of the Investment Advisers Act of 1940 and SEC fiduciary standards Familiarity with SEC advertising, recordkeeping, and disclosure requirements Familiarity with cross-border regulatory structures Compliance certifications (e.g., Series 65/66) Familiarity with portfolio management systems, CRM platforms, and compliance tools Proficiency in Microsoft Excel, Word, and reporting tools Understanding of cybersecurity and data-privacy best practices #J-18808-Ljbffr Lotus Capital