RIA Registrar, LLC Hiring for Director of Compliance Job at Arden Hills, MN Full Time

RIA Registrar, LLC (a member company of Gradient Financial Group, LLC) is a nationwide compliance consulting firm for registered investment advisors and is seeking a Director of Compliance to join our team.

The Director of Compliance will provide service and support to Financial Service Professionals for a registered investment Advisor. This position is also responsible for the drafting of documents for SEC and state registered Advisors as well as handle day-to-day client calls.

Specific responsibilities for the Director of Compliance include but are not limited to:

• Make initial call with all maintenance participants to review required books, records
• Pre-Audit prep for books and records
• Draft written responses to audit findings accordingly
• Answer client questions, advertising review
• Stay abreast of regulatory changes
• Update templates based on state, SEC feedback, regulatory changes, as well as for clarity
• Annual Filings, Update ADV1 and ADV2 as well as any other documents depending on regulatory changes
• Draft documents for RIA application to include form ADV2A, ADV2B and Investment Advisory Agreement
• File documents for application to include form ADV Part 1 on IARD, form ADV Part 2 on IARD, from U-4 on IARD and state specific documents directly to state
• Respond to Deficiency Letters for Application
• Send Congratulation Letter and documents
• Send Maintenance Program Email
• All other duties as assigned

Director of Compliance Qualifications and Skills

• FINRA Series 65 or 7 and 66 licenses or equivalent experience – Required
• 1 year of State/SEC, RIA and Compliance experience – Preferred
• Knowledge of IARD/CRD system
• Knowledge of general compliance rules for RIAs and forms
• Excellent communication skills; both verbal and written
• Strong computer (Excel, Outlook and Word) skills and general office skills
• Professional demeanor in all correspondence and interactions
• Ability to multi-task and operate efficiently in a fast-paced environment

At Gradient, we strive to offer a comprehensive benefits package that helps you and your family maintain health and well-being both physically and financially. Join our team for our competitive compensation and benefit plans but stay for our culture which includes a game room complete with ping pong, shuffleboard, Foosball, Golden-Tee, and Pac-Man … just to name a few.

Job Type: Full-time

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Ability to commute/relocate:

• Arden Hills, MN 55126: Reliably commute or planning to relocate before starting work (Required)

License/Certification:

• Series 65 (Preferred)
• Series 66 (Preferred)
• Series 7 (Preferred)

Work Location: One location