Compliance Associate

Dynasty Financial Partners, LLC•St. Petersburg, FL

About The Position

The Compliance Associate supports the Dynasty Network Compliance department by maintaining ongoing registrations for the network of firms, assisting with administration of compliance technology tools, and working on other compliance-related projects. The role involves preparing registration filings, resolving registration issues, maintaining records, supporting network firms with compliance technology, researching compliance matters, and collaborating with other departments. The position requires attention to detail, effective communication, discretion, and the ability to manage competing priorities in a fast-paced environment.

Requirements

Bachelor’s degree, associate degree, or equivalent experience.
Ability to handle stressful situations and provide a high level of customer service calmly and professionally.
Ability to work under pressure, manage multiple tasks and 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.
Strong 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

A minimum of 1–2 years of experience in compliance and/or the financial services industry is preferred.
Knowledge of the Investment Advisers Act of 1940 is a plus.
Equivalent combinations of experience, education, and/or training approved by Human Resources.

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.
Process new-hire registrations, personal status changes, and transfers 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 firm departments to resolve compliance-related issues.
Read, interpret, analyze, and apply information from regulatory rules and agencies.
Perform other duties and responsibilities as assigned.