$60,000.00 - $65,000.00 /Year
The compliance and investor relations coordinator will be based in Phoenix, AZ. The compliance and investor relations coordinator will work with both the sales and marketing teams and legal team to ensure securities compliance and quality control. The position will also be responsible for interfacing with broker/dealers on investor production and document collection, maintaining investor profiles, and assisting in product launches, state and SEC filings, and other due diligence and compliance matters.
Experience with Reg D compliance.
Experience with RIA compliance.
Experience with Blue Sky Filings.
Experience with SEC guidelines.
About Aston Carter:
Aston Carter is a distinguished global provider of recruitment and staffing services to companies requiring highly specialized business professionals. As a Best of Staffing® Client and Talent leader, Aston Carter has an unrivaled commitment to delivering first class service to clients and business professionals across a variety of disciplines, including Accounting and Finance as well as Governance, Risk and Compliance. With more than 60 offices across Europe, Asia Pacific and North America, Aston Carter provides local, regional and global expertise to drive value and meet our customers' unique needs. Aston Carter is a division of Aerotek. Aerotek is an operating company of Allegis Group, a global talent solutions provider.
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Website : http://www.astoncarter.com/
Aston Carter is an independent IT recruitment consultancy established in 1997 to provide a pro-active service to the investment banking market. Our Head Office is in London and we now have offices covering all areas of IT in Dublin and Stockholm. In addition, we have divisions covering CRM Internationally, SAP and IT Banking in France, Switzerland and the Benelux . Aston Carter has carefully and strategically expanded its portfolio of services and target industries and we are now the leading supplier of personnel to a select number of the world's leading Financial Institutions and Blue-Chip Companies.