Thursday, April 3, 2014

Compliance Consultant to Investment Advisers, Advisor Solutions Group - Newport Beach

Compliance Consultant to Investment Advisers,  Advisor Solutions Group, Inc. - Newport Beach, California

Title: Compliance Consultant to Investment Advisers
Company: Advisor Solutions Group, Inc.
City: Newport Beach, California

Description: 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 or mock audits
  • Preparing regulatory filings
  • Staying current on relevant regulatory changes
  • Researching rules and regulations
  • Summarizing regulations and applying those to client situations
  • Traveling to various client sites (up to 20% travel)
  • Completing special projects as assigned
The ideal candidate will demonstrate the following:
  • 3+ years prior investment adviser compliance or similar experience
  • 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
What we offer:
  • Position with growth opportunity, reporting directly to executive management
  • Salary (base + bonus) commensurate with relevant experience
  • Medical, Dental, Life, and LTD Insurance
  • 401(k) with Company Match & Profit Sharing Plan
  • Paid holidays and vacation
  • Flexible work schedule
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.

To apply, please e-mail your resume, cover letter, salary history & requirements to

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