Title: Compliance Associate
Location: Remote
Reports To: Director of RIA Consulting
Description: Synergy RIA Compliance Solutions provides Registered Investment Advisers 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, structured environment where individuals can work independently. 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)
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:
The base annual salary for this position ranges from $55,000 - $65,000, plus potential bonus opportunities based on company performance
You can enroll in the employer sponsored 401k plan, Synergy matches up to 3%
You get 15 days annual PTO, plus all 10 NYSE holidays, a total of 25 days throughout the year
Your health insurance is paid 70% by the company
Your dental / vision insurance fully paid for by company
You can opt into disability insurance
You can take up to 12 weeks of leave with our Parental Leave Policy
If you are interested in earning your IACCP designation, we will pay for your training and examination
Before applying for a position with Synergy RIA Compliance Solutions, please note the following:
We are not a FINRA member firm. This is not the right fit if you plan to maintain your securities license(s).
We have a PTO blackout period from January 1 through March 31.
We host an annual in-person retreat. Travel expenses are paid for by the company and attendance is mandatory.
By completing this application, you agree to the following: Authorize applicant's current and former employers to release any information contained in the employee's personnel file or otherwise known. Release applicants current and former employers and all parties associated with the employers from any liability in connection with the release of such information.
Next Steps:
If interested, please submit your resume and cover letter to info@synergyriacompliance.com with the subject line “RE: Compliance Associate Role”