Tuesday, June 6, 2017

Compliance Consultant, Advisor Solutions - Newport Beach

Compliance Consultant to Investment Advisors, Advisor Solutions Group, Inc. - Newport Beach, California
 
Title: Compliance Consultant to Investment Advisors
Company: Advisor Solutions Group, Inc.
Location: Newport Beach, California
 
Description: Advisor Solutions Group, Inc. ("ASG") is an established, rapidly growing regulatory compliance consulting firm providing comprehensive and customized compliance solutions to small and mid-sized registered investment advisers. ASG seeks a compliance consultant who will be responsible for all aspects of a client relationship including developing, creating, and presenting customized compliance solutions.

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
• 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
:

• 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 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.

Note: Relocation package is not provided.

To apply, please e-mail your resume and salary history & requirements to resume@advisorsolutionsgroup.com
 

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