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Associate Consultant
RELX Group
San Diego, CA, United States
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Associate Consultant - NRS
Working closely with the consultants, the Associate Consultant will provide consulting services to assigned department clients. Such services may include the preparation and filing of investment adviser registration documents, drafting of disclosure documents, conducting on-site compliance reviews of investment adviser and broker-dealer firms, and providing consulting services on a variety of compliance and regulatory matters.
The Associate Consultant is also responsible for supporting consultants and the Consulting Department by various means, including, but not limited to, researching new and existing regulations and regulatory interpretations as needed and as requested by consultants and department heads. Research may support individual consultants seeking to accurately respond to specific client inquiries and requests as well as broader company needs, such as preparing presentations or supporting materials for NRS or industry speaking engagements.
Essential Job Responsibilities:
1. Provide various consulting services to assigned department clients.
2. Perform research regarding applicable regulations and SEC/FINRA interpretations regarding the application of such regulations;
3. Support Consultants and Senior Consultants as needed.
Minimum Position Requirements:
Education and Experience:
1. Bachelor's degree.
2. Record of superior past performance.
3. Proven writing skills.
4. Strong organizational skills required; ability to work independently and meet critical deadlines.
5. Proven teamwork experience, demonstrating outstanding interpersonal skills and strong communication skills.
Skills/Knowledge/Competencies:
1. Skills/Knowledge:
Financial Services experience a plus. The area of specialty for this position is the Investment Advisers Act of 1940 and related rules and industry practices as well as FINRA rules and regulations.
Computer literate, with a working knowledge of MS Office Suite or similar tools/software applications as well as research tools and databases such as CCH and Lexis Nexis.
2. Competencies:
Ability to work in teams as well as independently; customer focus; flexibility and adaptability; integrity and trust; organizational skills; attention to detail; good follow through; understanding and appreciation of regulatory and compliance functions and issues; ability to work against fixed deadlines and to assess priorities appropriately.
*This job description indicates the general level and nature of work expected of the incumbent. It is not a comprehensive list of specific duties or activities associated with the position. The incumbent may be asked to perform other duties as assigned.
About Reed Business Information:
Reed Business Information (RBI) provides information, analytics and data to business professionals worldwide. Our strong global products and services hold market-leading positions across a wide range of industry sectors including banking, petrochemicals and aviation where we help customers make key strategic decisions every day. RBI is part of RELX Group plc, a world-leading provider of information solutions for professional customers across industries.
http://www.reedbusiness.com
RBI General Benefits Package
• 401k match of 5%
• 18 Days Holiday
• Paid Charity Days – 2 days per year
• Benefits start the upon hire date
• Excellent OTE & Competitive Salaries
RBI is an equal opportunity employer: qualified applicants are considered for and treated during employment without regard to race, color, creed, religion, sex, national origin, citizenship status, disability status, protected veteran status, age, marital status, sexual orientation, gender identity, genetic information, or any other characteristic protected by law.