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Title : Paralegal- Ria Compliance

Location : Georgia - Atlanta
Refer to Job # QLLZ845160

Paralegal- RIA Compliance The candidate will support compliance managers in administering adviser compliance programs for clients. Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H). Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure. Assist with the RIA annual updating amendment/renewal process. Coordinate with colleagues (including those in client-facing roles) and directly with RIA clients (as needed). Conduct RIA compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc. Draft compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating. Assist with meeting preparation and documentation of compliance tasks. Understand SEC rules and regulations and how they apply to advisers. Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file. Perform other duties and projects as needed. Should have 3+ years working for a law firm. RIA regulatory and/or NASAA experience (either at a State or SEC office). Must have extensive previous experience with Form ADV and other regulatory documents. Someone fanatical about client experience with dedication to client responsiveness. Passion for working in a fast-paced, small company environment. Must have solution-oriented mindset, excellent written, organizational, and follow-up skills. Must have attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately. Must demonstrate strong critical thinking skills and curiosity. Must have excellent independent follow-up skills, organizational and time management skills; ability to multitask. Must have strong written and oral communication skills among different business audiences,and customer service-oriented.

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