Compliance Advisor at Dynasty Financial Partners

St. Petersburg, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

12 Jun, 26

Salary

0.0

Posted On

14 Mar, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Consulting, Compliance Support, Process Improvement, Best Practices Development, Diagnostic Reviews, SEC Rules Knowledge, Regulatory Filings, Form ADV Filing, Form 13F Filing, Form 13H Filing, Form U4 Filing, Form U5 Filing, Public Speaking, Communication Skills, Organizational Skills, Attention To Detail

Industry

Financial Services

Description

Description Dynasty Financial Partners is a leading WealthTech platform and the industry advocate for independent financial advisors helping them succeed through powering the future of wealth management. Our mission is to help advisors achieve their entrepreneurial dream of building a more successful enterprise defined by their ability to deliver high-quality, customized financial advice to their clients. Dynasty offers integrated solutions and differentiates services ranging from transition support, experience and community, technology and CRM, finance, investments and operations, marketing, compliance, practice management, M&A, and capital strategies. Dynasty has established offices in St. Petersburg (Headquarters) and Chicago. As a client-facing and office support fast-paced role, the RIA Compliance Associate will assist in helping the Network Compliance team in providing regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs), under the supervision of the leader of Network Compliance. This individual will help support the management and build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The successful candidate will be viewed as a person that can answer compliance questions or be able to find answers that arise from Network RIAs. The RIA Compliance Associate will also be expected to provide support to Dynasty’s internal compliance initiatives typically associated with the operation of an RIA and Broker Dealer compliance programs. Responsibilities: Support the Network Compliance team and Dynasty’s Network of independent RIAs; assist the Network Compliance team in driving the Dynasty Compliance Offering Project management of process improvement initiatives taking independent lead with support from team leader Assist in developing compliance best practices for the Dynasty Network of RIAs Interact with Dynasty’s compliance resource providers and assist in achieving quality and uniformity in the deliverables Assist in performing ongoing diagnostic reviews of the Network RIA compliance programs and regulatory exams Follow up on internal and regulatory deficiencies within the Network to help ensure proper procedures and controls are in place Keep up to date on SEC Rules and other regulations that may impact the Network RIAs Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and Dynasty management Assist in training internal and Network Compliance employees on compliance policies and procedures Assist Network RIAs with SEC exams Draft and file a wide array of state and SEC filings, including: Form ADV, 13F, 13H, Form U4 and Form U5. Comfort presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded trainings Requirements Requirements: Bachelor’s degree or equivalent experience Minimum 2-5 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs Knowledge of the Investment Advisers Act of 1940 and ERISA “Clients first” mentality Familiarity with regulatory and operational framework of RIAs Some experience with the creation, formation, and launch of investment adviser entities. Superior communication skills, written and spoken, for both one to one and larger audiences Strong organizational skills Self-starter that can independently take a project and move it forward without manager intervention. Strong attention to detail and analytical skills Able to manage multiple tasks in a fast-paced business environment Some domestic travel to visit the offices of the Network RIAs, as necessary At Dynasty our Diversity and Inclusion Mission is to actively encourage and support the inclusion and acceptance of diverse backgrounds, ideas, and beliefs by embracing our commonalities and respecting and appreciating the differences among us. We believe in promoting success for our employees and clients by providing all persons with opportunities and a voice to achieve their full potential as organizational goals are pursued. 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.

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Responsibilities

The RIA Compliance Associate will support the Network Compliance team by providing regulatory consulting and support to registered investment advisers (RIAs) within the Dynasty Network. This includes managing compliance offering build-out, driving process improvement initiatives, and assisting with ongoing diagnostic reviews of RIA compliance programs.