Compliance Associate

Employer
MASON INVESTMENT ADVISORY SERVICES, INC.
Location
Reston, Virginia
Posted
Jan 31, 2018
Closes
Apr 01, 2018
Function
Administrative, Other
Hours
Full Time

MASON INVESTMENT ADVISORY SERVICES, INC.

Compliance Associate

Reston, Virginia

We are a national investment advisory firm with offices in Virginia and California serving high net worth individuals, institutional clients, and corporate sponsored financial planning clients. We are looking for a full-time compliance associate to become part of a team in our compliance department.

Required: Bachelor’s degree and at least 2 years of registered investment advisor and/or broker dealer experience.

Work with the Chief Compliance Officer (CCO) and Compliance Officer to support firm-wide compliance programs and initiatives:

  • Manage contract administration for new and existing clients
  • Assist in annual AML review; ADV filings
  • Assist with compliance meetings and other educational programs
  • Manage annual ADV offering to clients
  • Manage filings of audited financials to regulators and states
  • Maintain spreadsheets on gifts; annual acknowledgements; insurance licensing
  • Assist with compliance review and approval of marketing materials
  • Assist with coordination of all regulatory examinations and compliance audits
  • Attend various compliance seminars and training sessions
  • Conduct reviews and forensic tests that support policies and procedures and to address risks and conflicts of interests
  • Under guidance from senior compliance personnel, interact with employees in order to ensure effective controls are in place to ensure compliance with applicable rules and regulations

Key Qualifications:

  • Ideal candidate will have two years of experience with compliance
  • Ability to maintain confidentiality
  • Strong organizational skills
  • Comfortable with Microsoft applications and data entry
  • Flexibility and camaraderie to work in a fast paced environment

 

Excellent benefits, including medical/dental insurance, 401(k) plan, competitive salary and a great work environment. Please send resume to rpylypko@masoncompanies.com

 

 

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