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Investment Advisor Registration Associate

Full Time
Posted 1 week ago

Overview of Position

The Registrations Associate is responsible for supporting compliance consultants in the delivery of expert advice to investment advisers regarding SEC and/or state regulatory requirements and regulatory best practices.  The position assists Compliance Consultants in providing regulatory compliance consulting services to investment advisers.

This position can work in any of our offices, or remotely, depending on the preference of the selected individual.

Compensation for the selected candidate will be determined by a variety of factors to include previous experience, education and credentials/licenses.

Key Responsibilities

  • Assisting in the execution of assigned registrations
  • Assisting in the preparation and completion of questionnaires and filings that support the development of key deliverables (e.g., Form ADV Disclosure Brochures and Brochure Supplements, etc.)
  • Providing support services to compliance consultants and clients
  • Processing IARD/CRD regulatory filings
  • Assisting in the preparation of regulatory documents such as Form ADV, Form U4/U5, and additional application materials/documentation
  • Researching SEC and/or state rules and regulations and communicating guidance to clients
  • Corresponding with securities regulators to research regulatory requirements
  • Preparing response letters to state and federal examiners on behalf of clients
  • Maintaining firm records (calendars, project workflows and status updates), time tracking and time reporting
  • Assisting clients with compliance questions and other needs
  • Assisting in enhancing internal workflow and processes
  • Planning and organizing priorities while maintaining highest level of service to clients
  • Multitasking and managing multiple projects within deadlines
  • Conducts self in a professional manner
  • Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
  • Other tasks and duties as assigned

Qualifications (Personal, Educational, Experience)

  • Minimum of 1 year of relevant experience in financial compliance or other regulatory services
  • Experience with IARD/CRD systems
  • Associate degree or higher in a related field preferred
  • Strong written communication and oral communication skills
  • Strong relationship management skills
  • Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
  • Customer-focused attitude
  • Time management and organization skills with a strong attention to detail
  • Ability to work both independently and as part of a team
  • Some knowledge of the investment management industry and related securities laws, especially the Investment Advisers Act of 1940, preferred


Sit:                        Total hours/day     6.5           Hours at one time           2.0

Stand:                   Total hours/day     1.0           Hours at one time           0.5

Walk:                    Total hours/day     0.5           Hours at one time           0.5

This position requires strong organizational skills, the use of a computer and other common office equipment throughout the day, and the ability to maintain mental focus.


40 hours per week with ability to work additional hours as necessary to meet client needs.

About Foreside

Foreside Financial Group, LLC provides customized solutions to the investment management industry. Our solutions include fund, broker-dealer and adviser compliance services, distribution consulting, legal underwriting, FINRA licensing to U.S. and non-U.S. sponsors of closed-end, open-end, exchange traded funds and private placements as well as retail and institution broker-dealers and investment management firms.

Foreside’s cost-effective, personalized solutions allow our clients to focus on asset management without sacrificing distribution and compliance best practices.

Job Features

Job CategoryIA and BD Consulting

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