ComplianceMAX Financial provides compliance technologies and services to the financial services industry. The company is recognized nationally as an innovator and pioneer in technology-based compliance solutions and is experiencing rapid growth due to wide-spread market acceptance.
ComplianceMAX offers a full range of technology enabled products and services including field and remote audits, forms management and automated surveillance, licensing and registration services, and customized training. The combination of industry expertise, innovative technologies and field operations capabilities provides Broker/Dealers, Investment Advisers and Hedge Fund Managers—both large and small—the opportunity to draw on industry leading compliance management programs and strategies.
ComplianceMAX Financial offers a competitive salary and an excellent benefits program including company-paid health insurance, 401(k) and profit sharing.
Accounting Assistant—San Diego Office
ComplianceMAX Financial is a fast-growing regulatory compliance company serving the financial services industry. We are looking for a full time Accounting Assistant.
Accounting Assistant Duties & Requirements
- Set up new client files
- Receive, enter and post A/R activity
- Process credit card activity
- Collection calls
- Enter A/P activity
- Assist in various accounting related activity when needed
The ideal candidate has a minimum one year experience in A/R, light collections and A/P. Experience with Great Plains and Sales Force CRM systems a plus. This individual should be proficient in Microsoft Word and Excel. Detail oriented with good communication skills and the ability to take initiative. Candidate should be comfortable working within a team environment.
Please send resume and salary requirements to careers@compliancemax.com.
Compliance Auditors—Chicago, New York, and San Diego
ComplianceMAX Financial Corporation, a national compliance consulting firm, is seeking Compliance Auditors in Chicago, New York, and San Diego. Compliance Auditors will support ComplianceMAX's Investment Adviser and Broker-Dealer Consulting and Auditing Divisions.
Compliance Auditor Duties & Requirements
Common job duties for a cMAX Auditor include:
- Travel to various client sites across the nation to perform mock regulatory audits for Investment Advisers and branch audits for Broker-Dealers
- Provide individualized specialized compliance consulting
- Review advertising, draft and amend firm procedures
- Utilize available technology to provide prompt & accurate reporting of audit results
- Maintain full responsibility of all artifacts collected during audit process
- Provide other filings and compliance services as needed
The ideal cMAX Auditor candidate will demonstrate the following:
- a 4-year college degree
- Current securities licenses
- 3 or more years of securities industry experience
- Familiarity with NASD, SEC and state securities regulations
- Familiarity with regulations systems, including IARD and CRD
- Solid working knowledge of Microsoft Office programs
- Willingness to travel (approximately 60% travel)
Ideal candidates will demonstrate high attention to detail, ability to work without direct supervision, and have strong reading comprehension and writing skills. ComplianceMAX Financial offers a challenging work environment, career growth opportunities, and terrific benefits for full time employees.
Please email resume to careers@compliancemax.com.
Compliance Consultants—San Diego Office
ComplianceMAX Financial Corporation, a national compliance consulting firm, is seeking Compliance Consultants in San Diego.
Compliance Consultant Duties & Requirements
Common job duties for a cMAX Consultant include:
- Consult with investment advisers regarding various compliance issues
- Consult with broker dealers regarding various compliance issues
- Submit Form ADV, Form BD, U-4, U-5 and other filings through the CRD, IARD and other regulatory systems
- Review and revise client agreements, ADVs, procedures and advertising
- Perform deficiency sweeps of the CRD and IARD assist clients with finding solutions
The ideal cMAX consultant candidate will have the following:
- 3 or more years experience working with registered investment advisory firm(s) in a compliance, operational or supervisory capacity
- 2 or more years experience working with brokerage firm(s) in a compliance, operational or supervisory capacity
- 1 year or more experience working with hedge funds in a compliance, operational or supervisory capacity
- Solid grasp of NASD, SEC and state securities regulations pertaining to investment advisers and broker dealers
- Familiarity with regulations systems, including IARD and CRD
- Securities licenses preferred
- A 4-year college degree
- Solid working knowledge of Microsoft Office programs
Ideal candidates will demonstrate high attention to detail, ability to work without direct supervision, and have strong reading comprehension and writing skills. ComplianceMAX Financial offers a challenging work environment, career growth opportunities, and terrific benefits for full time employees.
Please email resume to careers@compliancemax.com. |