Operations and Compliance Manager
- Employer
- World Wide Financial Solutions
- Location
- Huntersville, North Carolina
- Salary
- Up to $62,000 plus 6% 401(k) match - Series 65 license required*
- Closing date
- Feb 4, 2022
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- Job Role
- Administration
- Employment Type
- Full Time
- Level
- Experienced
- Experience Level
- 1-4 years
- CFP® Certification
- Not necessary
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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