Job Description
Job Description Description: Dynasty Financial Partners is a leading WealthTech platform and the industry advocate for independent financial advisors helping them succeed through powering the future of wealth management. Our mission is to help advisors achieve their entrepreneurial dream of building a more successful enterprise defined by their ability to deliver high-quality, customized financial advice to their clients.
Dynasty offers integrated solutions and differentiates services ranging from transition support, experience and community, technology and CRM, finance, investments and operations, marketing, compliance, practice management, M&A, and capital strategies. Dynasty has established offices in St. Petersburg (Headquarters) and Chicago.
As a client-facing and office support fast-paced role, the RIA Compliance Associate will assist in helping the Network Compliance team in providing regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs), under the supervision of the leader of Network Compliance. This individual will help support the management and build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The successful candidate will be viewed as a person that can answer compliance questions or be able to find answers that arise from Network RIAs.
The RIA Compliance Associate will also be expected to provide support to Dynasty's internal compliance initiatives typically associated with the operation of an RIA and Broker Dealer compliance programs.
Responsibilities:
Support the Network Compliance team and Dynasty's Network of independent RIAs; assist the Network Compliance team in driving the Dynasty Compliance Offering
Project management of process improvement initiatives taking independent lead with support from team leader
Assist in developing compliance best practices for the Dynasty Network of RIAs
Interact with Dynasty's compliance resource providers and assist in achieving quality and uniformity in the deliverables
Assist in performing ongoing diagnostic reviews of the Network RIA compliance programs and regulatory exams
Follow up on internal and regulatory deficiencies within the Network to help ensure proper procedures and controls are in place
Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and Dynasty management
Assist in training internal and Network Compliance employees on compliance policies and procedures
Assist Network RIAs with SEC exams
Draft and file a wide array of state and SEC filings, including: Form ADV, 13F, 13H, Form U4 and Form U5.
Comfort presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded trainings
Requirements:
Requirements:
Bachelor's degree or equivalent experience
Minimum 2-5 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs
Knowledge of the Investment Advisers Act of 1940 and ERISA
"Clients first" mentality
Familiarity with regulatory and operational framework of RIAs
Some experience with the creation, formation, and launch of investment adviser entities.
Superior communication skills, written and spoken, for both one to one and larger audiences
Strong organizational skills
Self-starter that can independently take a project and move it forward without manager intervention.
Strong attention to detail and analytical skills
Able to manage multiple tasks in a fast-paced business environment
Some domestic travel to visit the offices of the Network RIAs, as necessary
At Dynasty our Diversity and Inclusion Mission is to actively encourage and support the inclusion and acceptance of diverse backgrounds, ideas, and beliefs by embracing our commonalities and respecting and appreciating the differences among us. We believe in promoting success for our employees and clients by providing all persons with opportunities and a voice to achieve their full potential as organizational goals are pursued.
BENEFITS
Health Insurance
Dental insurance
Vision insurance
Retirement plan 401(k)
401(k) matching
Paid Time Off
FSA/HSA benefits plans
Disability benefits
Voluntary Life Insurance
Basic Life Insurance
EQUAL EMPLOYMENT OPPORTUNITY
Dynasty Financial Partners is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.
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