Job description

RIA Registrar, LLC (a member company of Gradient Financial Group, LLC) is a nationwide compliance consulting firm for registered investment advisors and is seeking a Director of Compliance to join our team.

The Director of Compliance will provide service and support to Financial Service Professionals for a registered investment Advisor. This position is also responsible for the drafting of documents for SEC and state registered Advisors as well as handle day-to-day client calls.

When it comes to choosing your next path, you may be wondering what to expect.

• Health insurance
• Dental insurance
• Vision insurance
• Paid time off (PTO)
• Volunteer time off (VTO)
• 401K
• Life Insurance
• Flexible schedules
• Monthly Social Activities
• Casual dress code
• Professional development

Now, you’re probably wondering a little more about what we are looking for, so here it is:

• FINRA Series 65 or 7/66 licenses – Required
• 1+ years of State/SEC, RIA and Compliance experience – Preferred
• 3+ years of experience in the financial services industry – Preferred
• Bachelor’s degree or equivalent work experience – Required
• Basic knowledge of SEC rules and regulations
• Basic knowledge of compliance systems and controls
• Basic knowledge of laws and regulations affecting business operations.
• Proficient knowledge with IARD/CRD system
• Proficient knowledge of general compliance rules for RIAs
• Proficient knowledge of SEC rules and regulation and how they apply to business practices for advisors
• Proficient organizational and prioritization skills with a high attention to detail
• Proficient ability to interpret and advise on the application of various laws and regulations.
• Proficient ability to apply rules to real-life facts/situations
• Proficient ability to process complex requests and error corrections as a subject matter expert

Want some more specifics? If you join the RIA Registrar crew, here’s what you’ll be doing:

• Make initial call with all maintenance participants to review required books, records
• Pre-Audit prep for books and records
• Update documents in response to audit findings
• Draft written responses to audit findings accordingly
• Answer client questions, advertising review
• Stay abreast of regulatory changes
• Update templates based on state, SEC feedback, regulatory changes, as well as for clarity
• Annual Filings, Update ADV1 and ADV2 as well as any other documents depending on regulatory changes
• Draft documents for RIA application to include form ADV2A, ADV2B and Investment Advisory Agreement
• File documents for application to include form ADV Part 1 on IARD, form ADV Part 2 on IARD, from U-4 on IARD and state specific documents directly to state.
• Respond to Deficiency Letters for Application
• Send Congratulation Letter and documents
• Send Maintenance Program Email
• Manage internal and external customer relationships
• Partner with team members to ensure and maintain positive relationship management
• Provide direct correspondence and support for FSP inquiries, including calls, emails and face-to-face
• Assist team members with elevated inquires
• Create presentations, educate and train internal employees
• All other duties as assigned

Whether you take flight at our Minnesota or Kansas office, Gradient is committed to helping you reach your career’s maximum altitude. We’re proud of our track record of helping our employees reach their potential in their chosen field while also helping them explore other parts of our company and industry. We’re committed to our people in a way that truly shows that at Gradient, the sky really is the limit.

Job Type: Full-time

Benefits:

• 401(k)
• Dental insurance
• Flexible schedule
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Ability to commute/relocate:

• Saint Paul, MN 55126: Reliably commute or planning to relocate before starting work (Required)

Work Location: In person

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