Financial Compliance Analyst Financial Compliance Analyst …

VisionPoint Advisory Group
in Dallas, TX, United States
Permanent, Full time
Last application, 26 Oct 20
Dependent on licenses and experience
VisionPoint Advisory Group
in Dallas, TX, United States
Permanent, Full time
Last application, 26 Oct 20
Dependent on licenses and experience
Support CCO in the ongoing risk assessment and testing of firm procedures, Code of Ethics, and overall compliance program under Rule 206(4)-7. This includes maintenance of ADV forms, act as alternate OSJ Delegate on supervision items, maintenance of books and records, and assist in the development of training and testing.

RESPONSIBILITIES:

  • Support VisionPoint Chief Compliance Officer in the ongoing risk assessment and testing of firm procedures, the firms Code of Ethics, and overall compliance program under Rule 206(4)-7.
  • Support maintenance of Form ADV Parts 1 and 2 including advisory and wrap fee brochures. Assist CCO with both annual and interim ADV updates and filings. Oversee ADV Part 2B procedures and delivery, and all ADV field communications.
  • Act as alternate OSJ Delegate in reviewing and following up on supervision items in the LPL Financial OSJ Review Tool.
  • Support CCO in reviewing and approving advisory client contracts
  • Assist with maintenance of required securities brokerage & RIA books and records, compliance procedures and manuals.
  • Lead and/or assist with communication efforts about updated policies and procedures
  • Assist in development and delivery of compliance training content for firm personnel and provide ad hoc training as needed.
  • Assist with testing and reporting on advisor-as-manager and VisionPoint Investments trading activities.
  • Support CCO in conducting of annual and ongoing internal reviews or audits.
  • Participate in investment management committee and meetings with firm management.
  • Relationship manager/point of contact for all clearing firm/third party manager/trading platform related issues.

REQUIREMENTS:

  • Knowledge of applicable securities and investment advisor rules and regulations, including, but not limited to, FINRA, SEC, MSRB, Investment Advisers Act of 1940, and state securities and RIA rules and regulations.
  • Knowledge of Excel, CRM and project management software.  Experience with portfolio management platforms such as Orion a plus.
  • 3-5 years financial services industry experience
  • FINRA Series 6 OR 7 and 24 OR 26 and 65 OR 66
  • Up to 10% Travel on annual basis
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