What are the responsibilities and job description for the Director of Compliance position at RIA Registrar, LLC?
Gradient Financial Group is a leading financial services company that includes twelve unique entities doing business throughout the country. We’re seeking an energetic crew member for the Director of Compliance with RIA Registrar. RIA Registrar, LLC is a nationwide compliance consulting firm for registered investment advisors.
It’s time to take your career to a higher altitude with the Gradient Financial Group. Visit https://www.careers.gradientfinancialgroup.com/ to learn more about our values, leadership team, career paths, benefits and more!
Here at Gradient, we take our work and our culture seriously. We frequently come together for food days, friendly competitions, volunteering, and other special events. We also prioritize openness and transparency so that you’re always informed when significant decisions and changes are made.
When charting your next route, you may be wondering what to expect. If you take flight with RIA Registrar, we provide:
It’s time to take your career to a higher altitude with the Gradient Financial Group. Visit https://www.careers.gradientfinancialgroup.com/ to learn more about our values, leadership team, career paths, benefits and more!
Here at Gradient, we take our work and our culture seriously. We frequently come together for food days, friendly competitions, volunteering, and other special events. We also prioritize openness and transparency so that you’re always informed when significant decisions and changes are made.
When charting your next route, you may be wondering what to expect. If you take flight with RIA Registrar, we provide:
- Health insurance
- Dental insurance
- Vision insurance
- Paid time off (PTO)
- Volunteer time off (VTO)
- 401K
- Life Insurance
- Flexible schedules
- Monthly Social Activities
- Casual dress code
- Professional development
Now, you’re probably wondering a little more about what we are looking for, so here it is:
- Bachelor’s degree or equivalent work experience – Required
- FINRA Series 65 or 7/66 licenses – Required
- 1 years of State/SEC, RIA and Compliance experience – Preferred
- 3 years of experience in the financial services industry – Preferred
- Basic knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules
- Basic knowledge of SEC rules and regulation
- Basic knowledge of compliance systems and controls
- Basic knowledge of laws and regulations affecting business operations.
- Basic knowledge of SEC rules and regulation and how they apply to business practices for advisors
- knowledge of RIA forms
- Proficient knowledge with IARD/CRD system
- Proficient knowledge of general compliance rules for RIAs
- Proficient knowledge of Microsoft office suite
- Proficient knowledge of SEC rules and regulation and how they apply to business practices for advisors
- Proficient knowledge of the Gradient Family of Companies.
- Proficient skilled in reviewing and auditing advisory business practices such as: correspondence, advertising, seminar review
- Proficient organizational and prioritization skills with a high attention to detail
- Proficient analytical, decision-making, and problem-solving skills.
- Proficient skill in understanding the big picture regarding regulations
- Advanced verbal, oral, and written communication skills
- Proficient ability to multi-task and set/achieve goals
- Proficient ability to interpret and advise on the application of various laws and regulations.
Want some more specifics? If you join the RIA Registrar crew, here’s what you’ll be doing:
- Make initial call with all maintenance participants to review required books, records
- Pre-Audit prep for books and records
- Update documents in response to audit findings
- Draft written responses to audit findings accordingly
- Answer client questions, advertising review
- Stay abreast of regulatory changes
- Update templates based on state, SEC feedback, regulatory changes, as well as for clarity
- Annual Filings, Update ADV1 and ADV2 as well as any other documents depending on regulatory changes
- Draft documents for RIA application to include form ADV2A, ADV2B and Investment Advisory Agreement
- File documents for application to include form ADV Part 1 on IARD, form ADV Part 2 on IARD, from U-4 on IARD and state specific documents directly to state.
- Respond to Deficiency Letters for Application
- Send Congratulation Letter and documents
- Send Maintenance Program Email
- Manage internal and external customer relationships
- Partner with team members to ensure and maintain positive relationship management
- Provide direct correspondence and support for FSP inquiries, including calls, emails and face-to-face
- Assist team members with elevated inquires
- Create presentations, educate and train internal employees
- All other duties as assigned
Whether your flight begins at our Minnesota or Kansas office, we’re committed to your ascent to your career’s maximum altitude. We help our employees thrive in their chosen field while also encouraging them to explore other parts of our company and the industry. We’re committed to our crew members in a way that truly shows that at Gradient, the sky really is the limit.