Investment Compliance Specialist

Dynasty Financial Partners, LLC; Saint Petersburg (FL); On-site; USD 52,000 - 68,000; 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, LLC is seeking a detail-oriented Compliance Support Specialist to assist the Dynasty Network Compliance department. The role centers on maintaining registrations for member firms, supporting compliance technology tools, and handling related projects across the department.

Ideal candidates have 1–2 years in compliance or financial services, strong analytical skills, and a client-service mindset.

Qualifications

• Bachelor's degree or associate degree or equivalent experience.
• 1-2 years of experience in Compliance and/or the financial services industry preferred.
• Handle stressful situations calmly and professionally.
• Work under pressure to manage multiple tasks with changing priorities.
• Knowledge of Investment Advisers Act of 1940 a plus.

Responsibilities

• Prepares and submits required forms for investment advisory firms and registering or terminating investment adviser representatives.
• Responds to escalated internal inquiries and resolves registration issues with 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 departments to resolve compliance-related issues.
• Read, interpret, analyze, and apply information from regulatory rules.
• Performs other duties as assigned.

Skills

Attention to detail

Regulatory knowledge

Effective communication

Customer service

Education

Bachelor's or Associate degree or equivalent

Job description

Dynasty Financial Partners, LLC is seeking a detail-oriented Compliance Support Specialist to assist the Dynasty Network Compliance department. The role centers on maintaining registrations for member firms, supporting compliance technology tools, and handling related projects across the department.

Ideal candidates have 1–2 years in compliance or financial services, strong analytical skills, and a client-service mindset.