RIA Compliance & Operations Coordinator

  • TBD
  • Olympia, WA, USA Olympia WA US
  • Permanent, Full time
  • Financial Advocates
  • 17 Sep 18 2018-09-17

The RIA Compliance and Operations Coordinator plays an integral part in supporting the firm’s efforts to maintain compliance with applicable federal and state regulatory requirements across various aspects of its business operations. The RIA Compliance and Operations Coordinator will assist the RIA Compliance and Operations team in the day-to-day administration of the firm’s investment adviser compliance program. The role will also support other operational functions of the firm.

Financial Advocates, Inc.

 

Job Title:              RIA Compliance & Operations Coordinator

Reports To:         RIA Chief Compliance Officer

Location:             Olympia, WA

 

Financial Advocates serves as a financial advisor’s primary ally through the transition, growth, and ongoing management of an independent practice.  Since 1996, we have been providing advice and support to advisors working independently and within financial institutions—people dedicated to their professions and to meeting the needs of their clients.

The RIA Compliance and Operations Coordinator plays an integral part in supporting the firm’s efforts to maintain compliance with applicable federal and state regulatory requirements across various aspects of its business operations.  The RIA Compliance and Operations Coordinator will assist the RIA Compliance and Operations team in the day-to-day administration of the firm’s investment adviser compliance program.  The role will also support other operational functions of the firm. 

Essential Duties and Responsibilities:

The primary responsibilities of this role include, but are not limited to, the following:

  • Support the RIA Compliance and Operations team in the administration of the compliance and operations functions of the company.
  • Support the marketing material review process.
  • Assist with the maintenance of written compliance policies and procedures.
  • Help to develop training for employees and investment adviser representatives
  • Assist in the maintenance of Form ADV and other regulatory reports and filings.
  • Support audits, surveillance and other testing activities.
  • Research and develop knowledge of applicable laws, regulations and rules.
  • Support other operational functions of the firm, including, but not limited to, quarterly billing, advisor transitions, due diligence of third party service providers, liaise with custodians, etc.
  • Other responsibilities and projects as assigned.

Qualifications & Competencies:

  • Familiarity with the Investment Advisers Act of 1940 and related regulations.
  • Client service mentality and professional demeanor.
  • Results-oriented approach to work.
  • Strong interpersonal skills with ability to establish rapport and trust.
  • Excellent verbal and written communication skills.
  • Detailed-oriented with strong decision-making and analytical skills.
  • Ability to exercise balanced, thoughtful judgement.
  • Advanced organizational skills and ability to manage multiple projects simultaneously.

Education and/or Experience:

  • Approximately 1-3 years of compliance and/or operations experience with an SEC registered investment adviser.
  • Bachelor degree preferred.

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover e-mail to the attention of Donny at careers@financialadvocates.com -- please do not attach your cover letter as a Word Document to the email.  Also, please use your last name somewhere in your resume's file name.

Please be aware that we will initially be responding to your submission by email, so please watch for an e-mail from financialadvocates.com.  We look forward to hearing from you!