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Operations and Compliance Manager

World Wide Financial Solutions
Huntersville, North Carolina
Up to $62,000 plus 6% 401(k) match - Series 65 license required*
Closing date
Feb 4, 2022

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Job Role
Employment Type
Full Time
Experience Level
1-4 years
CFP® Certification
Not necessary
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Duties and tasks:

Act as a liaison between employee’s and President

Performs general office management

Assist advisors with case design management

Client Support Assistance

Address all initial employee concerns

Oversee and direct client record retention

Oversee Administrative records

  • Third party contracts
  • Employees files
  • Business expenses

Schedule staff and training meetings

Tracks all licensing and certification renewals and CE’s

Coordinate with RIA Registrar to ensure compliance with Form ADVI/2

Assist President with compliance review, annual filings, state renewal and license management and other filings/requirements

Draft compliance documents as requested

Research as required

Provide E&O Insurance information

Update templates based on state, SEC feedback, regulatory changes, as well as for clarity

General Compliance Support

Answer Client Questions

Stay abreast of regulatory changes

Update templates based on state, SEC feedback, regulatory changes, and for clarity

Advertising Review

Recruit and interview potential new hires

New employee orientation

Benefit time and PTO calendar

Record retention

Quarterly Client Billing and accounts receivable

Accounts payable

Order office supplies

Coordinate with Accounting Consultant on general ledgers and financial statements, checks, bank statements, reconciliations

Monitor Marketing and Sales tracking

Collaborate with President to manage projections, budgeting, manage cash flow analysis

Data entry, as applicable to job responsibilities

Filing, as necessary

Perform general sales support

Mange website development

Maintain relationships with third party vendors

Create structural process for Advisors and Employee

Marketing Assistance as needed

All other duties as assigned

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