Location: Scottsdale,AZ, USA
Cardinal Point is a high growth, fast paced independent private wealth management firm with offices in the US and Canada. We focus on providing personalized investment, estate, tax and cross border financial planning solutions to affluent individuals and families and specialized financial representation for professional athletes. We are looking for a full-time compliance associate to join our team to help support our growing compliance requirements. ‘
Responsibilities
As a Compliance Associate at a high-growth company, you will be working closely with our Chief Compliance Officer to provide the necessary support with the high demands of compliance tracking, reporting, and support. Your responsibilities may include:
• Researching regulations: Keeping up with regulatory changes and researching regulatory practices
• Assessing compliance: Evaluating the company's compliance with laws and regulations
• Auditing: Performing routine audits to identify potential compliance risks
• Implementing policies: Helping to implement policies, systems, or controls to reduce risk
• Educating employees: Teaching employees about regulatory and legal requirements
• Monitoring trends: Monitoring industry and market trends to help predict company performance
• Performing due diligence: Performing client due diligence to help protect the company from fraud
• Preparing reports: Preparing and filing federal, state, and provincial registration and reports
• Drafting blog posts: Drafting blog posts on relevant state policy developments
Qualifications
• a bachelor's degree
• knowledge of any relevant regulatory standards or compliance requirements
• Proficient with Microsoft Office
• Excellent verbal and written communication skills
• Familiarity with Box, DocuSign, Addepar and FINRA Gateway a plus
• Analytical problem-solving skills
• Meticulous attention to detail