We are looking to expand the registration team of Greenwich Advisor Compliance Services, an investment advisor compliance service provider, with the addition of a motivated and talented compliance analyst interested in working on registration filings and drafting compliance documentation for SEC- and state-registered investment advisors regulated under the Investment Advisers Act of 1940 and similar state statutes.
The specific responsibilities of this role include the following:
- Assisting senior staff and clients in preparing their SEC and state registration filings, including Form ADV filings;
- Interacting with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get clients registered as investment advisers;
- Assisting senior staff and clients in drafting their compliance manuals, codes of ethics, and other written materials for use by clients to help them meet their compliance obligations and/or respond to regulatory inquiries;
- Drafting web content and periodic releases on compliance issues of interest to investment advisors;
- Researching registration and compliance questions from current and potential investment advisors and the business;
- Maintaining internal calendars and other recordkeeping tasks;
- Working on and managing specialized projects as necessary.
- Relevant experience preferably investment advisor compliance;
- Law degree or paralegal experience;
- Anywhere from 0-3 years of experience in a business or office environment;
- Solid academic background;
- Strong attention to detail;
- Outstanding oral and written communication skills.
The employer will not sponsor an employment visa for this position.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and welfare benefits including medical, dental, and vision benefits
- Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with sit/stand desks and multi-monitor setups
Greenwich Advisor Compliance Services (“Greenwich Compliance”), an IB Group affiliate, offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. Greenwich Compliance’s website is located at: https://www.greenwichcompliance.com/
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
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For more information, please visit www.ibkr.com/info