Vice President, RIA Compliance

Company: PuzzleHR
Location: Saint Petersburg
Posted on: January 16, 2022

Job Description:

PuzzleHR is a premier HR service provider recruiting for this position on behalf of dynasty financial partners.Now Hiring: Vice President, RIA ComplianceLocation: St. Petersburg, FL 33701Schedule: Monday - Friday (8:30am - 5:00pm)Whats In It for You:Unlimited PTO available to take what you need70% employer contribution to employee medical benefits package401k Advancement and Growth OpportunitiesJob Summary: A client-facing and fast-paced role, the VP, Compliance will provide regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs), under the supervision of Dynastys Chief Compliance Officer (CCO). This individual will help manage the build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The successful VP, Compliance will be viewed as a "go to" person when compliance questions arise from Network RIAs.The VP, Compliance will also be expected to provide support to Dynastys CCO on internal Dynasty initiatives typically associated with the operation of an RIA and BD compliance program and will work in tandem with the VP of Internal Compliance.Qualifications:Bachelors degree Experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAsSubstantial knowledge of the Investment Advisers Act of 1940 and ERISAClients first mentalityFamiliarity with regulatory and operational framework of RIAsExperience with the creation, formation, and launch of investment adviser entities.Superior communication skills, written and spoken, for both one to one and larger audiencesStrong organizational skillsSelf-starter that can independently take a project and move it forward without manager intervention.Strong attention to detail and analytical skillsAble to manage multiple tasks in a fast-paced business environmentPossible bi-monthly or quarterly domestic travel to visit the offices of the Network RIAsWho We Are: Powered by JazzHR2sUiGzPnwl

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