Opportunity
Seeking a Registration Compliance Associate for a securities industry regulatory consulting firm to provide support to the firm’s registration and compliance group. Recent college graduates may apply as well as those with 1-2 years of compliance experience.
Company
DFP Regulatory Services, founded in 1999, is a compliance consulting firm which provides expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US arms of foreign banks. The firm’s parent company is DFP Partners, a CPA firm formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and Operations Principals.
Role:
- Advising clients and servicing registration inquiries via phone and email
- Processing Uniform Forms U-4 and U-5, Form BD, Form BR, Form ADV and various state forms
- Assist with monitoring licensing examination, continuing education, and fingerprint requirements
- Assisting consultants to manage client accounts
- Drafting client communications in collaboration with management
- Coordinating meetings and special projects
- Interact with various regulators (FINRA/SEC/State) on behalf of clients and DFP Partners
Requirements:
- Bachelor’s degree required
- Recent college graduates and those with a minimum of 1-2 years of compliance experience
- Working knowledge of industry rules and regulations
- Prior broker-dealer and registration experience a plus
- Ability to obtain FINRA licenses, such as the SIE, Series 7, and Series 24, and register with FINRA
Job Type: Full-time
Pay: $55,000.00 - $65,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Cell phone reimbursement
- Dental insurance
- Disability insurance
- Employee assistance program
- Flexible spending account
- Health insurance
- Life insurance
- Paid time off
- Vision insurance
Experience:
- Compliance: 1 year (Required)
- Medical terminology: 1 year (Preferred)
- Computer skills: 1 year (Preferred)
Ability to Commute:
- New York, NY 10022 (Preferred)
Ability to Relocate:
- New York, NY 10022: Relocate before starting work (Preferred)
Work Location: Hybrid remote in New York, NY 10022