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Compliance Associate

Compliance Associate

Sowell Management ServicesNorth Little Rock, AR, United States
1 day ago
Job type
  • Full-time
Job description

Compliance Associate

Sowell Management

Little Rock, AR ONSITE

Reports to Chief Compliance Officer

Here at Sowell Management everything we do is centered around our Core Values and our clients :

  • We are family . Have each others back - Put others first - Critique in private.
  • Attitude is everything . Don't be a jerk & don't suck. Be enthusiastic, positivity goes both ways.
  • Care about what you do . Passion, desire, and drive for excellence - No half-hearted efforts
  • Own your commitments . Do what you say. First time, every time.
  • Go above and beyond . Teamwork always wins, Help each other out, When it's not your job or after 5.

About the Role :

The Compliance Associate works to ensure that all regulatory rules & regulations and all Federal & state laws are complied with at all times, and that all compliance deadlines are met.

What you are responsible for :

  • Onboarding of new IAR / RIA
  • Review proposed advertising material in SmartRIA, Clout, HubSpot, FMG Suite, and Asana
  • Obtain & reconcile : Annual Attestations, Quarterly Transaction, and Political Contributions Reports
  • FINRA CRD / IARD - File Form U4 / U5 filings & amendments
  • Quarterly fee review
  • Form ADV Part 2B - Draft / review for new / existing advisors
  • Maintaining Financial Advisor Recruiting Folder
  • Global Relay / Communication Review and Monitoring
  • Monitoring Continuing Education for IARs
  • Maintain Trade Error Log

    • Qualifications :

  • College Education preferred but not required.
  • 1 to 3 years of industry experience preferred but not required.
  • Excellent project management skills and positive attitude
  • Experience with on-line / cloud collaboration suites preferred (Google / Office365)
  • Ability to effectively meet predefined deadlines
  • Must demonstrate exceptional verbal and written communication skills
  • High quality character, servant's heart, meet the standards of Sowell Core Values.

    • Expectations and Measurables :

  • Hours - Monday - Friday 8am - 5pm
  • Beating every deadline, marketing review, compliance cases, daily Best Execution review, new IAR / RIA onboarding.