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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:
Requirements
Requirements:
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.
Full Time
Investment Management
$114k-143k (estimate)
03/13/2024
05/14/2024
dynastyfinancialpartners.com
MANHATTAN, NY
50 - 100
2010
SHIRL PENNEY
$10M - $50M
Investment Management
The job skills required for Compliance Advisor include Initiative, Futures, Attention to Detail, Communication Skills, Organizational Skills, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Advisor. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Advisor. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Advisor positions, which can be used as a reference in future career path planning. As a Compliance Advisor, it can be promoted into senior positions as an Attorney IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Advisor. You can explore the career advancement for a Compliance Advisor below and select your interested title to get hiring information.