Careers

Careers at ARC are unique. At ARC, you’re a member of a professional team where your experience and input is highly valued along with the opportunity for growth within our firm.

Compliance Consultant – Beverly Hills, CA

Our firm is currently interviewing for compliance consultants to maintain and service current client relationships. This position will involve assisting Registered Investment Advisers (“RIAs”) with on-going regulatory compliance obligations.

The position includes, but is not limited to:

• On-the-job training;
• Heavy client contact, legal research and document drafting;
• Leading RIAs and their representatives through the SEC and/or state registration process;
• Completing required regulatory annual filings;
• Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents;
• Reviewing marketing materials;
• Reviewing and/or drafting employment agreements;
• Formation of legal entities;
• Travel during portions of the year

Qualifications and Skills

• Full time employment
• 1 – 2 years of experience in the securities or financial services industry preferred
• Bachelor’s Degree. Business Major, Finance Major, Accounting Majors, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program.
• Series 7, and/or Series 24, Series 66 or Series 65 optional.
• Working knowledge of Investment Adviser’s Act, 1940 Act (Investment Company Act), other securities regulations and FINRA/SEC Rules preferred.
  Expertise in the Microsoft Office Suite
• Strong attention to detail, responsiveness and ability to take initiative.
• Ability to prioritize and handle numerous competing demands in a high-volume, fast-paced work environment with frequent urgent deadlines.
• Ability to work independently or as a team member, and manage projects and time efficiently.
• Should possess a professional manner and judgment to enable a good working relationship with clients and co-workers
• Excellent communication, organizational and interpersonal skills.