JOB DESCRIPTION
Job #: 33595
Title: Compliance Associate
Job Location: Reno, Nevada - United States
Employment Type:
Salary: contact recruiter for details
Other Compensation: Above average benefits
Employer Will Recruit From: Regional
Relocation Paid?: NO
WHY IS THIS A GREAT OPPORTUNITY? Position Offers:
* Career path to Chief Compliance Officer
* Opportunity to work closely with SVP to ensure adherence to best practices
* Extensive exposure to Senior Management and the ability to make significant contributions to Firm`s operations
* Small team with collegial atmosphere
JOB DESCRIPTION
Established RIA in Reno, NV seeks Compliance Associate to work with senior team members to develop and maintain compliance programs.
The Firm:
5B+ RIA with UHNW clients (25mm-1B+) New position open due to growth.
Position Specifications:
* Work with auditors and regulators to manage compliance examinations related to financial, regulatory and compliance audits
* Assist with the preparation of regulatory filings
* Maintain and report adherence to policies and procedures as related to the compliance program
* Research regulatory requirements and relevant financial institution laws to ensure compliance
QUALIFICATIONS Requirements:
* 5+ years` compliance experience within the wealth management industry
* Familiarity with rules and regulations applicable to Investment Advisers Education:
University - Bachelor`s Degree/3-4 Year Degree
How to Apply:
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