Thursday, October 13, 2016

Office Asst & Jr. Compliance Analyst, Advisor Solutions - Newport Beach

Office Assistant & Jr. Compliance Analyst, One Full-Time or Two Part-Time Opportunities, Advisor Solutions Group, Inc. - Newport Beach

Title: Office Assistant & Jr. Compliance Analyst, One Full-Time or Two Part-Time Opportunities
Company: Advisor Solutions Group, Inc., Newport Beach, California

Description: Advisor Solutions Group, Inc. ("ASG") is an established, growing regulatory compliance consulting firm providing comprehensive and customized compliance solutions to small and mid-sized registered investment advisers. ASG is seeking one full-time or two part-time individuals to assist with office administration and also to work closely with the other compliance team members and assist the team in supporting ASG’s investment adviser clients with customized compliance solutions.
The successful Office Assistant candidate will be responsible for the following:
  • General administration: Handle incoming inquiries; prepare general correspondence; scan documents; perform data entry; maintain company and client files (both electronic and hardcopy); provide administrative support for the entire office; other duties, as required.
  • Light accounting: Prepare client invoices; record income; process bank deposits; follow up on outstanding invoices.
  • Project administration: Maintain client databases; ensure that systems are in place to track and follow up on all items.
  • Specialized Tasks: Complete other tasks, special projects, and assignments as necessary.
  • Compliance Analyst job duties will include, but are not limited to:
  • Supporting the Compliance Consulting team
  • Drafting regulatory filings
  • Drafting disclosure documents
  • Drafting written compliance policies and procedures for clients
  • Reviewing marketing materials
  • Creating forms and compliance calendars
  • Assisting with annual review testing
  • Researching rules and regulations
  • Staying current on relevant regulatory changes
  • Completing special projects as assigned

The ideal candidate will demonstrate the following:
  • 4-year college degree in accounting, business, law or related discipline preferred; or progress toward a degree for part-time position
  • 1+ years experience in an office setting preferred
  • Excellent organizational skills with timely and thorough follow-through
  • Exceptional attention to detail and willingness to double check work for accuracy
  • Ability to prioritize work to balance multiple projects and deadlines
  • Self-starter with the ability to work under limited supervision in a small office environment
  • Effective oral and written communication
  • Exceptional customer service skills with a professional manner on the telephone and in person
  • Proficient in Microsoft Word/Excel/Outlook, QuickBooks
  • Entrepreneurial spirit and team player
  • Unparalleled integrity and excellent work ethic
  • Strong desire for a career in compliance a plus

What we offer:
  • Exciting career position with growth opportunity
  • Salary (base + bonus) commensurate with relevant experience
  • Medical, Dental, Life, and LTD Insurance
  • 401(k) with Company Match & Profit Sharing Plan
  • Paid Time Off
  • Flexible work schedule
This entry level position presents an opportunity to gain experience in the financial industry and is ideal for a detail oriented individual who is energetic and 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 and salary history & requirements to

No comments: