Title: Compliance Associate 

Location: Remote

Reports To: Senior Compliance Consultant 

 

Description: Synergy RIA Compliance Solutions provides Registered Investment Advisors with customized compliance solutions at an affordable price. We believe that the success of our consulting business is predicated on prompt responses to communications and building trusting relationships with clients. Synergy’s consultants foster a sense of confidence and authority with clients by applying their knowledge and expertise on an individualized basis.

 

Our goal is to serve our clients by creating a supportive environment where individuals can work independently within a structured environment. We’re looking for someone who is proactive, communicates well, and is self-motivated to grow as the company grows.

 

Responsibilities: 

 

  • Execute regulatory compliance supervisory tasks (email and trade reviews, drafting documents, executing filings on FINRA firm gateway, marketing reviews, etc.)

  • Process incoming compliance forms; file accurately; take note of any exceptions

  • Draft and file form U4, form U5, ADV Parts 1 and 2  

  • Review and edit compliance program documents (Written Supervisory Procedures, Code of Ethics, etc.)

  • Assist Compliance Consultants with annual compliance tasks (Financials Review, Suitability Review, Third-Party Vendor Due Diligence, etc.)

  • Identify and report irregularities within a client’s compliance program 

  • Communicate with Compliance Consultants and Senior Compliance Consultants on the status of their clients through the creation and delivery of reports

  • Maintain an extremely high level of security and confidentiality

  • Attend occasional client-facing meetings (required if interested in consultant track)

  • Systems you will work with daily: Salesforce, Airtable, Process St, Google Workspace, Dropbox

  • Programs requiring a high level of aptitude: Microsoft Word, Microsoft PowerPoint, Microsoft Excel, Google Docs, Adobe PDF files

 

Qualifications: 

 

  • Interest in RIA compliance rules and regulations

  • Strong organizational, multi-tasking, and prioritizing skills

  • Ability to take the initiative and work independently with minimal supervision in a structured environment

  • High attention to detail, strong task prioritization skills and the ability to make decisions within the scope of your role 

  • Previous experience working for a Registered Investment Adviser or Broker-Dealer 

  • Previously held Securities Licenses such as Series 6, Series 7, Series 63, Series 66

  • IACCP® designee 

 

Benefits and Compensation: 

 

  • Base salary starts at $55,000 annually, based on skills and qualifications

  • Annual bonus opportunities, based on company performance

  • Optional travel opportunities

  • 401(k) with company match

  • 3 weeks annual PTO and all NYSE market holidays 

  • IACCP® designation training and examination paid for by the company

  • Health / dental / vision insurance partially paid for by company 

  • Disability insurance

 

Please note, Synergy RIA Compliance Solutions is not a FINRA member firm. This is not the right fit if you plan to maintain your securities license(s).

This position has been filled. Would you like to see our other open positions?