Compliance Associate

Dynasty Financial Partners•St Petersburg, FL

About The Position

The Compliance Associate supports the Dynasty Network Compliance department. The role maintains ongoing registrations for the Dynasty network of firms, supports the administration of compliance technology tools, and contributes to other compliance-related projects. The associate works with network firms and internal departments, responds to registration issues, and applies information from regulatory rules and agencies. The position requires attention to detail, organization, effective communication, and the ability to provide professional customer service while managing multiple tasks and changing priorities.

Requirements

Bachelor's degree, associate degree, or equivalent experience.
A minimum of 1–2 years of experience in Compliance and/or the financial services industry is preferred.
Any equivalent combination of experience, education, and/or training approved by Human Resources.
Ability to handle stressful situations and continue providing a prominent level of customer service calmly and professionally.
Ability to work under pressure, manage multiple tasks with changing priorities, and meet deadlines in a fast-paced environment with frequent interruptions.
Fundamental knowledge of investment concepts, practices, and procedures used in the securities industry.
Close attention to detail.
Ability to review materials for compliance with rules and regulations.
Ability to work independently and collaboratively within a team environment.
Ability to provide an elevated level of customer service.
Ability to maintain confidentiality.

Nice To Haves

Knowledge of the Investment Advisers Act of 1940.

Responsibilities

Prepare and submit required forms for investment advisory firms and register or terminate investment adviser representatives in accordance with policies, industry standards, and federal and state securities laws.
Respond to escalated internal inquiries and resolve registration issues with federal and state agencies and other regulators.
Establish and maintain registration record-keeping systems.
Ensure new-hire registrations, personal status changes, and transfers are processed promptly and accurately.
Learn and become the go-to person on compliance technology tools.
Interact with network firms regarding compliance technology solutions.
Research compliance issues.
Collaborate across departments to resolve compliance-related issues.
Read, interpret, analyze, and apply information from regulatory rules and agencies.
Perform other duties and responsibilities as assigned.