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Regulatory Operations Associate
Location
United States
Posted
44 days ago
Salary
$60K - $75K / year
Seniority
Mid Level
Job Description
Regulatory Operations Associate
COMPLY
• Assist investment advisers and other financial services firm customers with regulatory obligations. • File annual updating amendments and other-than-annual amendments for Form ADV. • Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4. • Coordinate with state and SEC regulators to secure registration for customer firms. • Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID. • Handle Form D and blue sky filings for private funds. • Complete Form PF for hedge fund, private equity, and venture capital advisers. • Review disciplinary matters affecting customers for proper DRP disclosure. • Coordinate with Comply’s internal compliance experts, client services representatives, and other departments. • Attend team meetings and provide regular reporting to supervisor. • Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian. • Support remote team by clarifying and helping resolve complicated customer matters. • Assist your Regulatory Filings team with various other tasks as assigned.
Job Requirements
- Skilled in problem solving and analytical thinking.
- Ability to multitask in performing complex responsibilities across multiple projects.
- Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
- Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
- Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
- Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
- Exceptional organizational and time management skills.
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