RIA (Advisor) Compliance Associate

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Description

Dynasty Financial Partners is a leading WealthTech platform and the industry advocate for independent financial advisors helping them succeed through powering the future of wealth management. Our mission is to help advisors achieve their entrepreneurial dream of building a more successful enterprise defined by their ability to deliver high-quality, customized financial advice to their clients.

Dynasty offers integrated solutions and differentiates services ranging from transition support, experience and community, technology and CRM, finance, investments and operations, marketing, compliance, practice management, M&A, and capital strategies. Dynasty has established offices in St. Petersburg (Headquarters) and Chicago.

As a client-facing and office support fast-paced role, the RIA Compliance Associate will assist in helping the Network Compliance team in providing regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs), under the supervision of the leader of Network Compliance. This individual will help support the management and build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The successful candidate will be viewed as a person that can answer compliance questions or be able to find answers that arise from Network RIAs.

The RIA Compliance Associate will also be expected to provide support to Dynasty's internal compliance initiatives typically associated with the operation of an RIA and Broker Dealer compliance programs.

Responsibilities:

• Support the Network Compliance team and Dynasty's Network of independent RIAs; assist the Network Compliance team in driving the Dynasty Compliance Offering
• Project management of process improvement initiatives taking independent lead with support from team leader
• Assist in developing compliance best practices for the Dynasty Network of RIAs
• Interact with Dynasty's compliance resource providers and assist in achieving quality and uniformity in the deliverables
• Assist in performing ongoing diagnostic reviews of the Network RIA compliance programs and regulatory exams
• Follow up on internal and regulatory deficiencies within the Network to help ensure proper procedures and controls are in place
• Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
• Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and Dynasty management
• Assist in training internal and Network Compliance employees on compliance policies and procedures
• Assist Network RIAs with SEC exams
• Draft and file a wide array of state and SEC filings, including: Form ADV, 13F, 13H, Form U4 and Form U5.
• Comfort presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded trainings

Requirements

Requirements:

• Bachelor's degree or equivalent experience
• Minimum 2-5 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs
• Knowledge of the Investment Advisers Act of 1940 and ERISA
• "Clients first" mentality
• Familiarity with regulatory and operational framework of RIAs
• Some experience with the creation, formation, and launch of investment adviser entities.
• Superior communication skills, written and spoken, for both one to one and larger audiences
• Strong organizational skills
• Self-starter that can independently take a project and move it forward without manager intervention.
• Strong attention to detail and analytical skills
• Able to manage multiple tasks in a fast-paced business environment
• Some domestic travel to visit the offices of the Network RIAs, as necessary

Benefits

• Health Insurance
• Dental insurance
• Vision insurance
• Retirement plan 401(k)
• 401(k) matching
• Paid Time Off
• FSA/HSA benefits plans
• Disability benefits
• Voluntary Life Insurance
• Basic Life Insurance

EQUAL EMPLOYMENT OPPORTUNITY Dynasty Financial Partners is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.