- Reston, VA, USA
- Permanent, Full time
- Mason Companies
- 31 Jan 18 2018-01-31
We are a national investment advisory firm with offices in Virginia and California serving high net worth individuals, institutional clients, and corporate sponsored financial planning clients. We are looking for a full-time compliance associate to become part of a team in our compliance department.
Required: Bachelor’s degree and at least 2 years of registered investment advisor and/or broker dealer experience.
Work with the Chief Compliance Officer (CCO) and Compliance Officer to support firm-wide compliance programs and initiatives:
- Manage contract administration for new and existing clients
- Assist in annual AML review; ADV filings
- Assist with compliance meetings and other educational programs
- Manage annual ADV offering to clients
- Manage filings of audited financials to regulators and states
- Maintain spreadsheets on gifts; annual acknowledgements; insurance licensing
- Assist with compliance review and approval of marketing materials
- Assist with coordination of all regulatory examinations and compliance audits
- Attend various compliance seminars and training sessions
- Conduct reviews and forensic tests that support policies and procedures and to address risks and conflicts of interests
- Under guidance from senior compliance personnel, interact with employees in order to ensure effective controls are in place to ensure compliance with applicable rules and regulations
- Ideal candidate will have two years of experience with compliance
- Ability to maintain confidentiality
- Strong organizational skills
- Comfortable with Microsoft applications and data entry
- Flexibility and camaraderie to work in a fast paced environment
Excellent benefits, including medical/dental insurance, 401(k) plan, competitive salary and a great work environment.
Must be a US citizen.