The Regulatory Operations Associate will assist financial services firms with compliance tasks, regulatory filings, and client services, while collaborating with various internal departments.
Who Are We:
Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs.
To learn more about Comply, visit comply.com
The Role:
Comply is seeking a Regulatory Operations Associate to join our growing team! Reporting into our VP of Regulatory Affairs, this person will be responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.
Responsibilities:
- Assist investment advisers and other financial services firm customers with regulatory obligations.
- File annual updating amendments and other-than-annual amendments for Form ADV.
- Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
- Coordinate with state and SEC regulators to secure registration for customer firms.
- Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
- Handle Form D and blue sky filings for private funds.
- Complete Form PF for hedge fund, private equity, and venture capital advisers.
- Review disciplinary matters affecting customers for proper DRP disclosure.
- Coordinate with Comply’s internal compliance experts, client services representatives, and other departments.
- Attend team meetings and provide regular reporting to supervisor.
- Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian.
- Support remote team by clarifying and helping resolve complicated customer matters.
- Assist your Regulatory Filings team with various other tasks as assigned.
Qualifications:
- Skilled in problem solving and analytical thinking.
- Ability to multitask in performing complex responsibilities across multiple projects.
- Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
- Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
- Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
- Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
- Exceptional organizational and time management skills.
To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
Comply is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.
Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
Comply is aware of scammers posing as Comply employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.
Top Skills
Complianceguardian
Finra/Iard
Microsoft Office Suite
Myriacompliance
Salesforce
Sec'S Edgar System
Webcrd
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