Regulatory Operations Associate at Comply in Remote

Summary: Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. They are seeking a Regulatory Operations Associate to assist financial services firm customers with compliance and regulatory matters, ensuring high-quality service delivery and innovative solutions. Responsibilities: - Assist investment advisers and other financial services firm customers with regulatory obligations - File annual updating amendments and other-than-annual amendments for Form ADV - Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4 - Coordinate with state and SEC regulators to secure registration for customer firms - Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID - Handle Form D and blue sky filings for private funds - Complete Form PF for hedge fund, private equity, and venture capital advisers - Review disciplinary matters affecting customers for proper DRP disclosure - Coordinate with Comply’s internal compliance experts, client services representatives, and other departments - Attend team meetings and provide regular reporting to supervisor - Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian - Support remote team by clarifying and helping resolve complicated customer matters - Assist your Regulatory Filings team with various other tasks as assigned Required Qualifications: - Skilled in problem solving and analytical thinking - Ability to multitask in performing complex responsibilities across multiple projects - Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels - Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce - Ability to work effectively and flexibly within a client service-oriented, collaborative environment - Exceptional organizational and time management skills Preferred Qualifications: - Experience with FINRA/IARD, WebCRD, and SEC's EDGAR system is a plus Required Skills: Microsoft Office Suite, Salesforce, FINRA/IARD, WebCRD, SEC EDGAR system, Regulatory filings, Compliance software, Analytical thinking