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.