- Job Seekers
- Home
- Candidate Login
- Candidate Register
- Employers
- Employers Login
- Employers Register
- Search
- Advanced Search
- Search by Sector
- Search by Job Type
- Search by Location
- Employer Directory
- Recruiter Directory
- About Us
- About Us
- Terms & Conditions
- Privacy Policy
- How to Advertise
- Useful Links
- Contact Us
- Find Us
- on Facebook
- Site Search
Junior Level Compliance Specialist
| Location: | Portsmouth, Rockingham, New Hampshire, USA |
|---|---|
| Job Type: | Permanent |
| Posted: | 18th Jun 2010 |
| Closing Date: | 16th Jul 2010 |
| Posted By: | AdvisorAssist |
| Details: | |
| Junior Level Compliance Specialist Basic Function Responsible for interacting with clients to perform Investment Advisor registration work until firm and Investment Advisor Representative(s) are successfully registered and approved by the State or SEC regulators. Responsibilities will include: • Working directly with new registration clients to assemble, prepare and file all SEC and/or state registration documents and Forms U-4 for the firm and individuals associated with the appropriate regulatory authorities • Researching state and/or SEC rules and regulations for each registration and provide guidance to clients • Responding to regulators questions and comments concerning the registration application and work with regulators through approval of the registration • Drafting initial customized compliance programs and client agreements for the registration clients including written supervisory procedures, business continuity program, code of ethics, and privacy policy • Planning and organizing priorities while maintaining highest level service possible to clients, and managing priorities within deadlines, and • Performing other duties as assigned During peak periods, the Registration and Compliance Specialist will also support the annual ongoing compliance needs of clients Education/Training Degree: Bachelor’s Degree Experience Previous investment advisor compliance background working with investment advisors and Investment Advisor Representatives is preferred. No phone calls, please! | |
| Sorry! This job is no longer active as the closing date for applications has passed. You can view other vacancies from this company (if they have any) by clicking on their name above, alternatively we may have some suggestions for similar vacancies listed below that might be of interest. | |
Featured External Adverts
Part of the 
AllWorldJobs.com Group © 2006-2012 All Rights Reserved All World Jobs Ltd.
AllWorldJobs.com Group © 2006-2012 All Rights Reserved All World Jobs Ltd.