We are
COMPLY.For compliance people.We pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. We serve more than 7,000 clients globally, through our solutions including ComplySci, RIA in a Box, National Regulatory Service (NRS) and illumis. We are a high-growth organization and have been recognized with numerous awards including by Inc. 5000, Institutional Asset Manager Awards, Private Equity Wire Awards, and the Women in Data & Technology Awards.COMPLY is made up of 350+ professionals worldwide.
In the US alone, we have team members in 45 states. Employees of COMPLY have access to comprehensive benefits, unlimited PTO, paid bonding leave and 100% remote work flexibility with a WFH stipend.Come join our team of talented innovators working together to forge the next generation of compliance.To learn more about COMPLY, visitCOMPLY.com.
COMPLY
is seeking a
Registration Analyst
to join our growing team! Reporting to our VP of Regulatory Affairs, this person will be responsible for providing assistance on a variety of registration 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 with the State and SEC registration process.
- Gather all material information regarding investment advisers business model.
- Accurately draft and file all necessary documents related to the firm's registration.
- Understand regulatory requirements for state jurisdiction(s) and SEC
- Communicate with State and SEC regulators on behalf of our clients during the jurisdiction's registration review process.
- Make timely and accurate revisions to all appropriate documents and filings in response to regulatory comments and requested updates.
- File initial ADV filings and other-than-annual amendments for Form ADV.
- Process applications for new investment adviser firms and investment adviser representatives, including Form U4.
- 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.
- Assist your New Registration team with various other tasks as assigned.
Qualifications:
- Skilled in problem-solving and analytical thinking.
- Ability to multitask and perform complex responsibilities across multiple projects.
- Excellent interpersonal skills, including managing 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.
$55,000 - $65,000 a year
The compensation range for this role is specific to the United States. It takes into account a wide range of factors that are considered in making compensation decisions, including, but not limited to, skill sets, training, licensure and certification, and experience. A reasonable estimate of the base salary range for this role would be $55,000-$65,000 plus applicable bonus/benefits offerings, etc., as those similarly situated within the Company.
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.Apply for this job
