Compliance Examiner

Company Name:
Are you looking for an opportunity that will allow you to grow personally and professionally? Trinet has a full service compliance consulting firm client in the Woodstock, GA area with a permanent opportunity for an Associate Consultant.
We are looking for someone that is passionate about helping our clients manage the various aspects of the compliance function of their advisory firm. We get to know our clients and their needs personally.
We serve registered investment advisers exclusively. We do not get involved with broker/dealer or insurance compliance. This allows us to focus all of our efforts only on the rules, regulations and issues that investment advisers face.
Candidate MUST have RIA experience.
As an Associate Consultant you will work with our clients helping:
Review, revise, and draft Form ADV (all Parts)
Customize compliance manual, Code of Ethics per client business model
Contribute to production of company publications
Contribute to process of registering new advisers at both the SEC and state level
Work with team to prepare and file documents relating to Annual Filing Service
Review advisers client agreements with respect to state requirements, general completeness and consistency with Form ADV
Stay abreast of state, SEC and FINRA rule changes
Work with clients to customize compliance programs
Respond to client requests for information, questions relating to broad range of compliance topics
Other projects and tasks as assigned
Generous benefit plan: 2 weeks paid vacation, 10 paid holidays, health insurance, vision insurance, dental insurance, bonus plan, 401(k) match.
Will consider candidates wanting to relocate but no relocation assistance is provided.
Submit resume to

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