Regulatory Affairs Coordinator
3 days ago
About the Opportunity:
We are looking for a highly skilled Regulatory Affairs Coordinator to join our team at HireFinder. As a key member of our compliance department, you will be responsible for assisting with the completion of various compliance tasks for RIA clients, researching and staying up-to-date on industry compliance regulations, and analyzing and evaluating regulations in the context of advisory operations.
Key Responsibilities:
- Assist compliance consultants with completion of various compliance tasks for RIA clients.
- Research and stay current on industry compliance regulations and requirements (SEC, DOL, Client, etc.).
- Analyze and evaluate regulations in the context of advisory operations and compliance policies.
- Assist with development of advisory compliance policies and procedures.
- Maintain WordPress website, including membership tracking and content posts, contact management, and notifications via integrated MailChimp platform.
- Assist with RIA client State/Federal regulatory and registration/notice filing submissions.
- Maintain firm's RIA client and compliance resource recordkeeping system.
Requirements:
- Bachelor's degree or equivalent combination of experience and education required.
- Work experience in a compliance analyst and/or surveillance role preferred.
- Compliance and fiduciary related examinations and certifications preferred but not required.
- Supervisory experience preferred but not required.
Estimated Salary: $70,000 - $100,000 per year based on location and experience.
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