Friday, December 6, 2013

Compliance Consultant to RIAs – Newport Beach, CA

Compliance Consultant to Registered Investment Advisers – Newport Beach, CA
Advisor Solutions Group, Inc. (“ASG”) is a 10-year strong regulatory compliance consulting firm providing comprehensive and customized compliance solutions to registered investment advisers. ASG is seeking a compliance consultant who will be responsible for all aspects of a client relationship including developing, creating, and presenting customized compliance solutions.
*** NOTE: Prior investment adviser compliance or similar experience is a strong plus.
Common job duties will include, but are not limited to:
• Providing individualized compliance consultations
• Preparing written compliance policies and procedures for clients
• Creating forms and compliance calendars
• Performing annual reviews of compliance programs
• Preparing regulatory filings
• Staying current on relevant regulatory changes
• Researching rules and regulations
• Summarizing regulations and applying those to client situations
• Developing, in concert with company partners, new processes, products, and services
• Developing and maintaining strong working relationships with other compliance contacts in the industry
• Traveling to various client sites (up to 30% travel)
• Completing special projects as assigned
The ideal candidate will demonstrate the following:
• 3+ years prior investment adviser compliance or equivalent experience required
• 4-year college degree in accounting, business, law, or related discipline preferred
• Prior auditing, paralegal and/or securities law experience a strong plus
• Working knowledge of Federal and State securities laws and rules
• Exceptionally organized and strong attention to detail
• Ability to handle multiple tasks and deadlines efficiently
• Self-starter with the ability to work under limited supervision
• Proven research, analytical, and problem-solving skills
• Strong interpersonal and communication skills
• Excellent writing skills
• Ability to express complex technical information clearly & concisely
• Advanced working knowledge of Microsoft Excel and Word
• Entrepreneurial spirit and team player
• Strong desire for a career in compliance
• Unparalleled integrity and excellent work ethic
This position presents an opportunity to join a budding firm and is ideal for an energetic person, seeking a long-term career in compliance. Responsibilities may increase with the growth of the firm and increased experience.
Compensation will be commensurate with relevant experience.
To apply, please e-mail your resume, cover letter, salary history & requirements to
Thank you

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