Regulatory Operations Associate

Responsibilities:

• Assist investment advisers and other financial services firm customers with regulatory obligations. 
• File annual updating amendments and other-than-annual amendments for Form ADV.
• Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
• Coordinate with state and SEC regulators to secure registration for customer firms.
• Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
• Handle Form D and blue sky filings for private funds. 
• Complete Form PF for hedge fund, private equity, and venture capital advisers. 
• Review disciplinary matters affecting customers for proper DRP disclosure. 
• Coordinate with Comply’s internal compliance experts, client services representatives, and other departments. 
• Attend team meetings and provide regular reporting to supervisor. 
• Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian. 
• Support remote team by clarifying and helping resolve complicated customer matters. 
• Assist your Regulatory Filings team with various other tasks as assigned. 

Qualifications:

• Skilled in problem solving and analytical thinking.
• Ability to multitask in performing complex responsibilities across multiple projects. 
• Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
• Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
• Exceptional organizational and time management skills.