Univest Financial Corporation

Compliance Associate - Registered Investment Advisor

Location US-PA-Souderton
Posted Date 3 weeks ago(7/26/2022 3:16 PM)
Job ID
5362
# Positions
1
Category
Girard

Overview

Girard 2018

 

 

Girard Advisory Services, LLC provides financial planning, investment and wealth management services to individuals and high net worth clientele predominately on a fee only basis.  We are seeking for immediate hire a Compliance Associate, a position arising from our continued growth both locally and regionally.  The ideal candidate will have experience in the implementation and supervision of rules and regulations, with an emphasis on SEC registered investment advisors.

Responsibilities

Conduct surveillance and monitoring of advisory activities for compliance with firm and industry requirements.  

 

Review and approve email, correspondence and social media profiles and related communications. Ensure compliance with all internal procedures and applicable industry regulations.

Review and approve advertising and marketing material and maintain related books and records. Ensure compliance with all internal procedures and applicable industry regulations.

 

Review, update and maintain the firm’s Code of Ethics and certification process and conduct surveillance reviews of the trading activities of firm personnel subject to the code.

Assist with conducting and documenting the firm’s annual review and internal audits.

 

Perform licensing and registration functions and related WebCRD and/or IARD submissions.

 

Assist with all aspects of the maintenance of Form ADV and other regulatory reports, documents and filings as needed.

 

Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.

 

Perform other duties and projects as assigned.

 

Some travel between office locations will be required.

 

Qualifications

Bachelor’s degree in a related field; or equivalent training/experience.

 

3-5+ years of compliance experience with a registered investment advisor. SEC registered investment advisor experience preferred. Experience supervising Investment Advisor activities preferred.

 

Series 65 or 66 required or qualifying professional designation such as CFP, CFA or ChFC.

 

Understanding and working knowledge of Federal Securities Laws including the Investment Advisors Act, Securities Exchange Act and applicable Investment Advisor rules and regulations.

 

Ability to maintain professionalism at all times and use discretion with confidential information.

 

Strong verbal, written and interpersonal communication skills.

 

Strong time management, organizational, analytical, communication and problem-solving skills; attention to detail.

 

Ability to work independently.

 

Proficiency with PC applications, including MS Office

 

#Girard #LI-hybrid

 

An Equal Opportunity Employer.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.

 

 

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