Compliance and Risk Specialist

3 weeks ago


Minneapolis, Minnesota, United States C2P Enterprises LLC Full time
About the Job

C2P Enterprises, LLC is a holding company of three distinct brands that simplify financial planning for advisors and their clients. We are seeking an experienced Enterprise Governance Analyst to join our team and drive initiatives related to adviser supervision, compliance, and business risk.

Job Summary

This role will involve ensuring that all advisers conduct business in accordance with relevant laws, regulations, and industry standards. The successful candidate will develop and implement effective compliance strategies, provide training and support to advisers, and maintain accurate records and reports.

Responsibilities
  • Develop and implement compliance programs and procedures to ensure adherence to regulatory requirements.
  • Provide training and support to advisers on compliance matters.
  • Conduct regular audits and reviews to ensure compliance with regulatory requirements.
  • Maintain accurate records and reports, including tracking and monitoring of compliance metrics.
Requirements

We are looking for a highly skilled professional with a Bachelor's degree or higher and 2+ years' experience in an SEC regulated RIA, and/or FINRA broker dealer. Must be proficient in knowledge with Investment Advisors Act of 1940 rules and regulations and have expert knowledge and experience with applicable SEC rules and regulations for a Registered Investment Advisor firm (RIA).

Compensation

This role offers a competitive salary range of $80,000 - $110,000 per year, depending on experience.



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