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.
  • Experience in the securities or financial services industry preferred:
  • Bachelor’s Degree. Business Major, Finance Major, Economics Majors, Marketing Majors a plus.
  • 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.

Contact Us

Advanced Regulatory Compliance, LLC. Firm Logo

415 North Camden Drive, Ste. 223 Beverly Hills, CA 90210
Email: -
Phone: 310.275.7300 - Fax: 310.275.7305