Job Title: Investment Adviser Compliance Assistant	Salary: Compensati / Monthly
Location: Newport Beach, CA	Type: Full-Time
Zip Code: 92660

Description:

Advisor Solutions Group, Inc. (?ASG?), a 3-year young, rapidly growing regulatory compliance consulting firm, is seeking an individual to assist in supporting ASG?s registered investment adviser clients.

The successful candidate will be responsible for the following:
? Project administration: Maintain client and billing databases; ensure that systems are in place to track and follow up on all items; monitor client registrations.
? Project management: Track progress and status of all active projects; follow up with clients to obtain missing or additional account documentation; maintain an awareness of consultant?s workloads, schedules and deadlines.
? Communication & Teamwork: timely and accurate communication with consultants, regulators, and clients regarding project activities and status.
? Analysis: perform specialized spreadsheet analysis of client data.
? Office administration: Create and implement internal operational policies and procedures; implement and maintain general filing systems; maintain and order office supplies.
? General administration: Handle incoming inquiries; prepare general correspondence; maintain client files; scan documents; prepare draft regulatory documents; create forms; prepare client invoices; process bank deposits; provide administrative support for the entire office; and other duties, as required.
? Specialized Tasks: conduct rules and regulation research; complete special projects as assigned.

The ideal candidate will demonstrate the following:
? A minimum 2-4 years experience in an office setting required
? 4-year college degree in accounting, business or related discipline preferred
? Prior in-house investment adviser compliance experience is a strong plus
? Prior paralegal experience a strong plus
? Prior IARD experience a plus
? Excellent organizational skills with timely and thorough follow-through
? Exceptional attention to detail
? Ability to handle multiple tasks efficiently
? Self-starter with the ability to work under limited supervision
? Effective oral and written communication
? Proven research and analytical skills
? Advanced working knowledge of Microsoft Office programs, incl. Excel, Word and Access, and of ACT!
? Entrepreneurial spirit
? Team player
? Strong desire for a career in compliance
? Unparalleled integrity


This 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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