Hybrid Compliance Specialist for Finance Regs & Testing

Triad Partners; United States; Híbrido; USD 75.000 - 115.000; Tempo integral

Benefícios oferecidos por esta vaga

Competitive compensation

Health, dental and vision insurance

Generous PTO

401k Plan

Team events

Resumo da vaga

Triad Wealth Partners seeks a Compliance Specialist to support the Director of Compliance in administering the Firm's program. You will help with testing, surveillance, regulatory filings, training coordination, and documentation while serving as a resource to member firms.

This hands-on role tackles SEC compliance, recordskeeping, and policy updates in a fast-paced environment. Collaboration across teams is essential to success and growth within the advisory space.

Qualificações

• Bachelor's degree preferred.
• 2-5 years of compliance, operations, or regulatory experience in the financial services industry (RIA, broker-dealer, or related).
• Familiarity with SEC and state investment adviser regulations.
• Experience with compliance systems (e.g., Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh, Hadrius, Greenboard).
• Strong organizational skills with meticulous attention to detail and ability to handle confidential information.
• Excellent analytical, problem solving, and communication skills, both written and verbal.
• Proficiency with Microsoft Office Suite and ability to learn adviser technology platforms.
• Ability to manage multiple tasks and deadlines in a fast-paced environment.
• Team-oriented, with the ability to collaborate across different levels of the organization.

Responsabilidades

• Conduct routine compliance reviews and surveillance.
• Assist with the preparation and filing of regulatory forms, including Form ADV, U4s, U5s, 13F, and 13H.
• Support the Director in preparing for regulatory exams, field audits, and mock audits by gathering documents and coordinating responses.
• Maintain compliance records in accordance with SEC recordkeeping requirements, including advertising, correspondence, training logs, and testing results.
• Monitor compliance software systems (e.g., Red Oak, CRM, Orion, custodian platforms, Smarsh) to identify issues and escalation as appropriate.
• Help maintain compliance policies and procedures, including version control and documentation of updates.
• Track and coordinate compliance training requirements, assist in developing training materials, and maintain attendance/acknowledgement records.
• Research regulatory changes and industry updates, summarizing findings for the Director and Chief Compliance Officer.
• Provide timely responses and support to member firms on compliance-related questions.
• Participate in compliance-related projects and initiatives as assigned by the Director of Compliance.

Conhecimentos

Analytical skills

Attention to detail

Communication skills

Microsoft Office

Team collaboration

Formação

Bachelor's degree

Ferramentas

Red Oak

Orion

CRD/FINRA Gateway

Edgar

Smarsh

Hadrius

Greenboard

Descrição da vaga

Triad Wealth Partners seeks a Compliance Specialist to support the Director of Compliance in administering the Firm's program. You will help with testing, surveillance, regulatory filings, training coordination, and documentation while serving as a resource to member firms.

This hands-on role tackles SEC compliance, recordskeeping, and policy updates in a fast-paced environment. Collaboration across teams is essential to success and growth within the advisory space.