Investment Advisory Compliance Transition Specialist

Advisory Services Network, LLC is an SEC registered investment advisory firm comprised of a dedicated staff who work together to build unrivaled partnerships with our investment professionals. We currently support 151 offices across the United States and are rapidly increasing. We are a multi-custodial firm and clear through all of the major custodial platforms. Our unique culture puts our investment professionals and their clients at the heart of everything we do.

Position Summary

Your position, as a Compliance Transition Specialist, is to support the Chief Compliance Officer in all aspects of the firm’s financial advisor registration program. Your knowledge of CRD and IARD systems, procedures and regulatory requirements allows you to perform and/or facilitate specific components of the registration program. You will work independently and in conjunction with other members of the firm’s compliance and operations team to help facilitate new advisor transition and resolve problems. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have proven written and verbal communication skills. We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. We are an equal opportunity employer offering a competitive salary and benefit package.

Key Tasks

• Assist CCO with the firm’s new Financial Advisor onboarding program, including brochure supplement creation, compliance attestations and registration.
• Preparation and submission of Financial Advisor Form(s) U4 and U5.
• Educate and assist new Financial Advisors on compliance procedures
• Review daily exception reports and alerts and process accordingly
• Review Financial Advisor attestations and reports
• Proactively review Financial Advisor email communications and escalate any concerns to the CCO
• Interact with Compliance Team and advisors to help resolve potential compliance issues
• Pay close attention to detail, process work accurately
• Proactively develop self to continuously improve knowledge and skills and communicate development needs to the CCO as applicable

Skills and Experience Required

• 1-3 years of investment advisory or FINRA member broker/dealer compliance experience
• Understanding of the regulatory environment with respect to investment advisers, including the Investment Advisers Act of 1940
• Excellent skills in Microsoft Office Suite and other technologies
• Detail and service oriented with proven organizational skills, able to manage time efficiently and can multi-task
• Proven written and verbal communication skills
• Ability to work both independently and collaboratively
• Learning agile, able to adapt quickly and appropriately with the evolution of regulatory requirements

Benefits

• Medical, Vision and Dental Insurance
• Prescription Drug Coverage / 401(k) Profit Sharing Plan / Paid Vacation and Holidays
• Life Insurance / Accidental Death and Dismemberment
• Voluntary Life, AD&D options, Long-Term Disability and Flexible Spending Accounts
• Domestic Partner Program

Please submit resumes to Recruitment@advservnet.com