Compliance Associate
Core
Supporting the Dynasty Network Compliance department by managing firm registrations, administering compliance technology tools, and resolving regulatory inquiries.
Role type
Compliance Associate (Financial Services)
Builds
Registration record keeping systems and compliance technology solutions for a network of investment advisory firms.
Domain
Financial Services / Securities Industry
Required skills
Regulatory research, form preparation, registration management, system maintenance, stakeholder communication, deadline management, confidentiality.
Preferred skills
Investment concepts knowledge, Investment Advisers Act of 1940 knowledge, compliance technology proficiency.
Responsibilities
Prepare and submit required forms for investment advisory firms; respond to escalated internal inquiries and resolve registration issues with regulators; establish and maintain registration record keeping systems; process new hire registrations and status changes; research compliance issues; interact with network firms regarding compliance technology solutions.
Seniority
Junior to Mid-level, hands-on IC