Regulatory Affairs Coordinator

3 days ago


Tigard, Oregon, United States HireFinder Full time

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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