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Investment Advisory Compliance Specialist

2 months ago

St Petersburg, Florida, United States Dynasty Financial Partners, LLC Full time
Join Dynasty Financial Partners, LLC

We are on the lookout for a Compliance Manager to enhance our team. This pivotal role will focus on delivering regulatory guidance and support to our network of registered investment advisers. The Compliance Manager will be instrumental in overseeing compliance initiatives and offering expert advice to our RIAs.

Key Responsibilities:

  • Provide support to the Dynasty Network of RIAs
  • Design and implement compliance programs and best practices
  • Manage projects aimed at process enhancements
  • Collaborate with compliance resource providers
  • Oversee compliance staff
  • Stay informed on SEC regulations
  • Communicate critical compliance issues to senior management
  • Conduct training for internal and Network Compliance personnel
  • Assist during SEC examinations and regulatory inquiries
  • Comfortably present to large groups
  • Possess a Bachelor's degree or equivalent professional experience
  • Have 4-6 years of experience in compliance program management
  • Understand the Investment Advisers Act of 1940
  • Exhibit strong communication abilities
  • Demonstrate organizational and analytical capabilities
  • Manage multiple priorities effectively
  • Willingness to travel domestically as needed

Employee Benefits:

  • Comprehensive Health Insurance
  • Dental and Vision Insurance
  • 401(k) Retirement Plan
  • 401(k) Matching Contributions
  • Generous Paid Time Off
  • Flexible Spending Account (FSA) and Health Savings Account (HSA) options
  • Disability Insurance
  • Life Insurance Options

We pride ourselves on being an equal opportunity employer, dedicated to fostering diversity and inclusivity within our workplace. Become a part of our dynamic and expanding industry.