Compliance Associate

Description

We are looking for a highly motivated individual who is detailed-oriented, organized, and has effective communication skills whose primary responsibility is supporting the Dynasty Network Compliance department. This includes maintaining the on-going registrations of our Dynasty network of firms, providing support to the administration of the compliance technology tools, and other compliance related projects that may impact the department.

RESPONSIBILITIES:

· Prepares and submits required forms for investment advisory firms and registering or terminating investment adviser representatives in accordance with policies, industry standards and federal and state securities laws.

· Responds to escalated internal inquiries and resolves registration issues with federal and state agencies and other regulators.

· Establishes and maintains registration record keeping systems.

· Ensures new hire registrations, personal status changes and transfers are processed promptly and accurately.

· Learn and become the go to person on compliance technology tools.

· Interact with network firms regarding compliance technology solutions.

· Research compliance issues.

· Collaborate across the departments of the firm to resolve any compliance related issues.

· Read, interpret, analyze, and apply information from regulatory rules and agencies.

· Performs other duties and responsibilities as assigned.

Requirements

· Bachelor's degree or associate Degree or equivalent experience; a minimum of 1-2 years of experience in Compliance and/or the financial services industry preferred.

· Any equivalent combination of experience, education, and/or training approved by Human Resources.

· Handle stressful situations and continue to provide a prominent level of customer service calmly and professionally.

· Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.

· Fundamental knowledge of investment concepts, practices and procedures used in the securities industry.

· Pay close attention to details.

· Reviewing materials for compliance with rules and regulations.

· Work independently and collaboratively within a team environment.

· Provide an elevated level of customer service.

· Maintain confidentiality.

· Knowledge of Investment Advisers Act of 1940 a plus.

BENEFITS

· Health Insurance

· Dental insurance

· Vision insurance

· Retirement plan 401(k)

· 401(k) matching

· Paid Time Off

· FSA/HSA benefits plans

· Disability benefits

· Voluntary Life Insurance

· Basic Life Insurance

EQUAL EMPLOYMENT OPPORTUNITY Dynasty Financial Partners is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.