Tuesday, June 6, 2017

Jr. Compliance Analyst, Advisor Solutions - Newport Beach

Jr. Compliance Analyst, Advisor Solutions Group, Inc. - Newport Beach, California

Title: Jr. Compliance Analyst
Company: Advisor Solutions Group, Inc.
Location: Newport Beach, California
Status: Full Time Employee

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 is seeking an individual to work closely with the other compliance team members and assist the team in supporting ASG’s investment adviser clients with customized compliance solutions.

Common 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• 1+ years prior investment adviser or equivalent experience a plus
• Exceptionally well organized and strong attention to detail
• Ability to handle multiple tasks and deadlines efficiently
• Self-starter with the ability to work under limited supervision
• 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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