Compliance Associate - Reno, Nevada United States - 33595



JOB DESCRIPTION

Job #: 33595
Title: Compliance Associate
Job Location: Reno, Nevada - United States
Employment Type:
Salary: contact recruiter for details
Other Compensation: Above average benefits
Employer Will Recruit From: Regional
Relocation Paid?: NO

WHY IS THIS A GREAT OPPORTUNITY?


Position Offers:

*     Career path to Chief Compliance Officer
*     Opportunity to work closely with SVP to ensure adherence to best practices
*     Extensive exposure to Senior Management and the ability to make significant contributions to Firm's operations
*     Small team with collegial atmosphere
 

JOB DESCRIPTION

Established RIA in Reno, NV seeks Compliance Associate to work with senior team members to develop and maintain compliance programs.

The Firm:

5B+ RIA with UHNW clients (25mm-1B+) New position open due to growth.

Position Specifications:

*     Work with auditors and regulators to manage compliance examinations related to financial, regulatory and compliance audits
*     Assist with the preparation of regulatory filings
*     Maintain and report adherence to policies and procedures as related to the compliance program
*     Research regulatory requirements and relevant financial institution laws to ensure compliance

 

QUALIFICATIONS

Requirements:

*     5+ years' compliance experience within the wealth management industry
*     Familiarity with rules and regulations applicable to Investment Advisers

Education:
University - Bachelor's Degree/3-4 Year Degree

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