Job Title: Compliance Consultant to Registered Investment Advisers	Salary: Common job / Monthly
Location: Newport Beach, CA, CA	Type: Full-Time
Zip Code: 92660

Description:

Advisor Solutions Group, Inc. (?ASG?) is a 3-year young, rapidly growing regulatory compliance consulting firm providing comprehensive and customized compliance solutions to small and mid-sized registered investment advisers. ASG is seeking compliance consultants who will be responsible for all aspects of a client relationship including preparing quotes, tracking time spent, developing, creating, and presenting compliance solutions.

*** NOTE: Prior investment adviser compliance experience is a requirement for this position. We are unable to respond to applicants who do not possess the requisite experience.

Common job duties will include, but are not limited to:
? Providing individualized compliance consulting
? Conducting mock audits
? Developing written compliance programs
? Performing annual reviews of compliance programs
? Preparing regulatory filings
? Staying current on relevant regulatory changes
? Researching rules and regulations
? Summarizing laws & regulations and applying those to client situations
? Training and supervising junior consultants and analysts
? Developing, in concert with company partners, new processes, products, and services
? Developing and maintaining strong working relationships with other compliance contacts in the industry
? Traveling to various client sites (up to 30% travel)
? Writing articles for internal and external publications

The ideal candidate will demonstrate the following:
? 4+ years prior in-house investment adviser compliance or SEC-examiner experience is a requirement for this position
? MBA, CFA, CPA, or JD preferred
? Prior paralegal and/or securities law experience a strong plus
? Working knowledge of Federal and State securities laws and rules
? Exceptionally organized and strong attention to detail
? Ability to handle multiple tasks & deadlines efficiently
? Self-starter with the ability to work under limited supervision
? Strong interpersonal and communication skills
? Excellent writing skills
? Proven research, analytical, & problem-solving skills
? Ability to express complex technical information clearly & concisely
? Advanced computer skills
? Entrepreneurial spirit
? Strong desire for a career in compliance
? Unparalleled integrity

This new position presents an opportunity to get in on the ground floor of a budding firm and is ideal for an energetic person, seeking a long-term career in compliance. Responsibilities may increase with the growth of the firm and increased experience.

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