Compliance Associate

Dynasty Financial Partners; Saint Petersburg (FL); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Health Insurance

Dental insurance

Vision insurance

Retirement plan 401(k)

401(k) matching

Paid Time Off

FSA/HSA benefits plans

Disability benefits

Voluntary Life Insurance

Basic Life Insurance

Job summary

Dynasty Financial Partners is seeking a motivated Compliance Support specialist. Your focus will be maintaining registrations for the Dynasty network of firms and supporting the administration of compliance technology tools.

You will prepare and submit required forms, respond to regulator inquiries, keep registration records, help with new hires and transfers, and collaborate across departments to resolve compliance issues, while upholding confidentiality and high service standards.

Qualifications

• Bachelor's degree or associate degree or equivalent experience.
• 1–2 years of experience in compliance or financial services preferred.
• Ability to handle stressful situations with professional customer service.
• Detail-oriented, organized, and effective communication.

Responsibilities

• Prepare and submit required forms for investment advisory firms and registrations.
• Resolve registration issues with regulators.
• Establish and maintain registration records.
• Process new hires, status changes and transfers promptly.
• Become the go-to person on compliance technology tools.
• Collaborate with network firms on compliance technology solutions.
• Research compliance issues.
• Collaborate across departments to resolve issues.
• Read and apply regulatory rules and agencies.
• Perform other duties as assigned.

Skills

Attention to detail

Customer service

Communication skills

Regulatory knowledge

Education

Bachelor's degree

Associate degree

Equivalent experience

Job description

Description

We are looking for a highly motivated individual who is detailed-oriented, organized, and has effective communication skills whose primary responsibility is supporting the Dynasty Network Compliance department. This includes maintaining the on-going registrations of our Dynasty network of firms, providing support to the administration of the compliance technology tools, and other compliance related projects that may impact the department.

RESPONSIBILITIES

• Prepares and submits required forms for investment advisory firms and registering or terminating investment adviser representatives in accordance with policies, industry standards and federal and state securities laws.
• Responds to escalated internal inquiries and resolves registration issues with federal and state agencies and other regulators.
• Establishes and maintains registration record keeping systems.
• Ensures new hire registrations, personal status changes and transfers are processed promptly and accurately.
• Learn and become the go to person on compliance technology tools.
• Interact with network firms regarding compliance technology solutions.
• Research compliance issues.
• Collaborate across the departments of the firm to resolve any compliance related issues.
• Read, interpret, analyze, and apply information from regulatory rules and agencies.
• Performs other duties and responsibilities as assigned.

Requirements

• Bachelor's degree or associate Degree or equivalent experience; a minimum of 1-2 years of experience in Compliance and/or the financial services industry preferred.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
• Handle stressful situations and continue to provide a prominent level of customer service calmly and professionally.
• Work under pressure to manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with frequent interruptions.
• Fundamental knowledge of investment concepts, practices and procedures used in the securities industry.
• Pay close attention to details.
• Reviewing materials for compliance with rules and regulations.
• Work independently and collaboratively within a team environment.
• Provide an elevated level of customer service.
• Maintain confidentiality.
• Knowledge of Investment Advisers Act of 1940 a plus.

Benefits

• Health Insurance
• Dental insurance
• Vision insurance
• Retirement plan 401(k)
• 401(k) matching
• Paid Time Off
• FSA/HSA benefits plans
• Disability benefits
• Voluntary Life Insurance
• Basic Life Insurance

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.