Registered Salesperson

Lotus Capital; Cupertino (CA); On-site; USD 80,000 - 120,000; Full time

Job summary

A financial services firm is seeking a Registered Salesperson to assist clients with their financial planning and investment needs. This role involves developing tailored investment strategies, ensuring regulatory compliance, and delivering exceptional client services. Ideal candidates will have extensive experience in SEC regulatory compliance, strong communication skills, and a relevant educational background. The position offers an opportunity to contribute to the firm's growth while acting in the best interest of clients at all times.

Qualifications

• Extensive experience in SEC regulatory compliance.
• Prior experience serving as Registered Sales Person.
• Strong working knowledge of the Investment Advisers Act of 1940.

Responsibilities

• Ensure exceptional customer service to meet client satisfaction.
• Conduct client onboarding in compliance with SEC suitability standards.
• Maintain client records and ensure compliance with regulatory standards.

Skills

SEC regulatory compliance

Client onboarding

Investment Policy Statements

Communication skills

Conflict disclosure

Education

Bachelor’s degree in finance, Economics, Business, Accounting, or related field

Tools

Microsoft Excel

CRM platforms

Job description

Overview

LCV Management LP is an investment firm incorporated in the state of Delaware, managing both $500 Million Catalyst Fund and wealth management of UHNIs and Single-Family Offices.

Role Description

The Registered Salesperson will assist clients in managing their financial planning and investment needs, develop tailored investment strategies, and provide expert financial advice.

Key Responsibilities

• Ensuring exceptional customer service to meet client satisfaction

Qualifications & Experience

• Extensive experience in SEC regulatory compliance
• Prior experience serving as Registered Sales Person
• Strong working knowledge of:
• Investment Advisers Act of 1940
• SEC rules, guidance, and enforcement trends
• Compliance monitoring and risk assessment frameworks

• Excellent written and verbal communication skills
• Ability to work independently

Regulatory & Compliance Deliverables

• Adherence to the firm’s Compliance Manual and Code of Ethics
• Timely personal trading disclosures and attestations
• Accurate client suitability assessments and documentation
• Proper maintenance of client records and notes
• Participation in mandatory compliance training
• Prompt escalation of any potential compliance breaches

Client Advisory Deliverables

• Conduct client onboarding in compliance with SEC suitability and fiduciary standards
• Prepare and maintain Investment Policy Statements (IPS) where applicable
• Provide compliant investment recommendations aligned with client objectives
• Deliver timely and accurate client communications and disclosures
• Maintain regular client contact and documented review meetings
• Ensure proper handling of client complaints and inquiries

Documentation & Recordkeeping

• Maintain detailed records of:
• Client meetings
• Advice provided
• Ensure records comply with SEC Books & Records Rules
• Update client information (KYC, risk tolerance, financial profile) periodically

Business Conduct & Ethics

• Act in the best interest of clients at all times (fiduciary duty)
• Avoid conflicts of interest or disclose them appropriately
• Ensure all marketing and communications are fair, balanced, and not misleading
• Comply with restrictions on testimonials, performance claims, and advertising

KPIs (Critical)

• Number of documented client review meetings conducted annually
• Timeliness of client responses
• Accuracy and completeness of client files
• Assets under management (AUM) growth (if applicable)
• Net new client relationships
• Contribution to firm initiatives (research, process improvement, training)
• 0 material compliance violations
• 100% on-time completion of compliance attestations
• No unresolved SEC or internal audit findings
• Timely completion of required regulatory training (100%)

Preferred Qualifications

• Experience with family offices, private funds, or alternative investments
• Bachelor’s degree in finance, Economics, Business, Accounting, or related field
• Advanced degrees (MBA, MS Finance, etc.) are a plus.
• Strong working knowledge of the Investment Advisers Act of 1940 and SEC fiduciary standards
• Familiarity with SEC advertising, recordkeeping, and disclosure requirements
• Familiarity with cross-border regulatory structures
• Compliance certifications (e.g., Series 65/66)
• Familiarity with portfolio management systems, CRM platforms, and compliance tools
• Proficiency in Microsoft Excel, Word, and reporting tools
• Understanding of cybersecurity and data-privacy best practices