Compliance Specialist, Finance & Banking

Compliance Specialist

Just Compliance

St. Paul, MN

$50K - $75K/yr

Full-time

Remote

We’re seeking an energetic team member for the Compliance Specialist position with Just Compliance. Just Compliance is a nationwide compliance consulting firm for registered investment advisors.

Here at Just Compliance, we take our work and our culture seriously. We work together collaboratively, and independently to complete compliance projects and tasks.

• Bonus Compensation Opportunities
• Flexible schedules
• Casual dress code
• Professional development

• Bachelor’s degree or equivalent work experience – Required
• FINRA Series 65 licenses – Preferred
• 1+ years of State/SEC, RIA and Compliance experience – Preferred
• 3+ years of experience in the financial services industry – Preferred
• Basic knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules
• Basic knowledge of SEC rules and regulation
• Basic knowledge of compliance systems and controls
• Basic knowledge of laws and regulations affecting business operations.
• Basic knowledge of SEC rules and regulation and how they apply to business practices for advisors
• Knowledge of RIA forms
• Proficient knowledge with IARD/CRD system
• Proficient knowledge of general compliance rules for RIAs
• Proficient knowledge of Google Workspace
• Proficient knowledge of SEC rules and regulation and how they apply to business practices for advisors
• Proficient skilled in reviewing and auditing advisory business practices such as: correspondence, advertising, seminar review
• Proficient organizational and prioritization skills with a high attention to detail
• Proficient analytical, decision-making, and problem-solving skills.
• Proficient skill in understanding the big picture regarding regulations
• Advanced verbal, oral, and written communication skills
• Proficient ability to multi-task and set/achieve goals
• Proficient ability to interpret and advise on the application of various laws and regulations.

• Make initial call with all maintenance participants to review required books, records
• Pre-Audit prep for books and records
• Update documents in response to audit findings
• Draft written responses to audit findings accordingly
• Answer client questions, advertising review
• Stay abreast of regulatory changes
• Update templates based on state, SEC feedback, regulatory changes, as well as for clarity
• Annual Filings, Update ADV1 and ADV2 as well as any other documents depending on regulatory changes
• Draft documents for RIA application to include form ADV2A, ADV2B and Investment Advisory Agreement
• File documents for application to include form ADV Part 1 on IARD, form ADV Part 2 on IARD, from U-4 on IARD and state specific documents directly to state.
• Respond to Deficiency Letters for Application
• Send Congratulation Letter and documents
• Send Maintenance Program Email
• Manage internal and external customer relationships
• Partner with team members to ensure and maintain positive relationship management
• Assist team members with elevated inquires
• All other duties as assigned

We’re committed to our team members in a way that truly shows that at Just Compliance, the sky really is the limit.