Vista360, LLC is an investment management consulting firm founded in 2002 and located in the metro Milwaukee area. We are known for delivering expert advice to clients in a practical, customized fashion. Our clients consist of investment advisers, private funds and mutual funds located across the country, with a concentration of clients in the Midwest. We assist clients with navigating complex federal securities laws and provide advice to our clients on incorporating industry-standard best practices stemming from the rules and regulations into their business practices and compliance programs. We place a high value on developing trusting relationships with our clients and team members and we use a strengths-based approach when allocating work amongst team members. We believe in giving back to our community and helping to make a real difference in the lives of others. Our team launched and provides ongoing support to Bloom360 Learning Community, a private, non-profit school for children ages 5 to 21 who learn differently.
This professional position assists our consulting team with client projects, regulatory research and core consulting processes. Research & Regulatory Compliance Associate responsibilities include:
- Assist consultants in servicing clients, including taking ownership and responsibility for client responsibilities assigned. Examples include, but are not limited to: compliance testing, compliance administration, Code of Ethics compliance, SEC exams, regulatory reporting, policies and procedures and marketing materials reviews;
- Assist in drafting base consulting documents stemming from new or updated rules and regulations;
- Develop an understanding of Vista360’s consulting approach as well as the rules, regulations and industry best practices relevant to Vista360’s clients;
- Assist in drafting and presenting summaries to the team of new or updated rules and regulations that impact Vista360’s clients, with a focus on the Investment Company Act of 1940 and the Investment Advisers Act of 1940;
- Monitor specific industry news publications and websites for regulatory developments;
- Support Bloom360 Learning Community’s mission through participation in events, contributing special talents and developing genuine, positive relationships with Bloom360 Learners and staff; and
- Become an active team member through effective communication, new idea generation, improvements to current processes and a positive attitude.
Requirements include:
- Associate or bachelor degree
- Paralegal experience and/or training preferred
- Experience working in the securities or investment management industry preferred.
- Strong research, writing and communication skills.
- Strong technology skills.
- Experience with compliance and operations software/systems (e.g., Schwab Compliance Technologies, Advent, Charles River, IARD) a plus.
- Ability to travel to roundtables, conferences and client locations with reasonable notice. Travel is expected to be minimal (5 – 10% of time).
- A desire to be part of a dynamic and friendly team where professional and personal development is supported and encouraged.
Compensation and Benefits:
- Salary, bonus potential, plus standard benefits package including health insurance and 401(k).
- Opportunities for professional growth and mentoring by a seasoned team of professionals.
- Casual work environment with a strong focus on work-life balance.
Interested, qualified candidates should submit a resume and cover letter to:
Patrick Braun
info@vista360llc.com
www.VISTA360LLC.com
Recruiters need not apply.
Vista360 is an Equal Opportunity Employer.