• Handle compliance operations to support a rapidly growing investment advisory firm
• Actively engage with regulators, auditors, and third-party due diligence partners, demonstrating deep knowledge of the regulations as they apply to our business, products and services.
• Enhance and maintain the organizational and record-keeping processes that enable timely and accurate responses to regulatory inquiries and examinations as they arise.
• Performs periodic reviews of ChangePath books and records.
• Coordinates the onboarding of new investment adviser representatives (“IARs”), which includes drafting of Form ADV Part 2Bs, Form U-4s, registering said IARs in relevant jurisdictions, and performing background checks of new IARs.
• Supervision of IARs’ written communications, personal trading, investment recommendations, and other activities.
• Assist in periodically reviewing, maintaining, updating and testing written compliance policies and procedures for the investment adviser operations, including completion of any associated remediation.
• Assist in reviewing and periodically updating the continuing education program for all employees, including the Code of Ethics, Compliance Manual, as well as providing mentoring and training for licensed professionals.

• Strong work ethic and hands-on approach.
• Positive attitude.
• Adaptability to a frequently evolving work environment.
• Customer and business-centric and collaborative mindset.
• Proven ability to communicate effectively at all levels of an organization.
• Strong organizational skills and confirmed ability to set and meet deadlines in a high paced environment.
• Advanced analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions.
• Excellent project-management skills, with creative techniques to coordinate across departments and functions.
• Well-versed in the art of drafting procedures and evaluating internal controls.

• BA/BS required; JD a plus.
• FINRA licenses 65 or 66 required; series 24 a plus.
• Minimum of 5 years’ professional experience as a compliance professional at a broker-dealer, investment advisory firm, or state or federal securities office.
• Deep knowledge of SEC regulations and the Investment Advisers Act of 1940; working knowledge of the Investment Company Act of 1940 a plus.
• Familiarity with set up and administration of email surveillance tools, such as Smarsh, as well as cybersecurity and malware tools like Proofpoint

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step by step account of the way each task is to be performed. Employees may receive other job related instructions and be required to perform other job related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

Email Support and Workstation Analyst

• Setup, migration, and ongoing administration of email hosting and surveillance
• Responsible for ongoing cybersecurity maintenance and updates as new threats arise or are identified
• Provide courteous & prompt technical support to users on various workstations and operating systems
• Setup, configure, and install new end-user hardware
• Strong desktop & peripheral knowledge for troubleshooting email configuration and hosting and other related tasks
• Maintain and update ChangePath’s cybersecurity catalogs, inventories, and rosters of equipment and authorized users.
• Develop virtual and in-person Cybersecurity trainings for ChangePath remote independent contractors.
• Rotate computing assets in a manner consistent with job function to maximize asset use & re-use.
• Utilize basic network skills to help solve workstation issues
• Navigate and obtain information from the Internet relevant to tasks and accountabilities assigned.
• Proficient at common software to provide support to end-users
• Extensive Office Product Knowledge, familiar with current versions of desktop OS and business productivity suites, with a focus on Outlook 

• Estimate appropriate project deliverables as requested
• Accurately determine resource requirements for a particular project/task
• Attend team meetings, conference calls, etc
• Work with 3rd party IT vendors to obtain tools/utilities/support

Minimum 1 year experience supporting PCs, email hosting/migration, and Microsoft Outlook email suite, *or* 2yr associates degree education in computer related coursework. Combinations of experience and formal schooling will be considered. MUST possess excellent customer service skills. Very familiar with Microsoft operating systems and business productivity tools. Ability to configure, install, or swap various IT hardware. Familiar with software installation procedures and email migration. Must be Internet savvy. Experience supporting peripheral devices such as printers, scanners, network attached devices, USB, CD-ROM, etc. Certification in any Microsoft products preferred. Working knowledge of relational databases.

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step by step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

• Willingness to learn, contribute to organizational growth.
• Highly organized and communicative.
• Team player.
• Enjoy meeting and engaging new advisors.
• Strong phone skills and ability to teach processes.
• Applies critical thinking, problem solving skills, and evaluates the level of sensitivity, risk and confidentiality

  of the work being performed in order to see it through to a resolution.

• Displays a positive attitude and has excellent interpersonal skills.
• Displays patience and empathy both verbally and in writing when communicating with advisors.
• Effectively communicates with cross functional team members within the department and across the

  organization both verbally and in writing.

• Must be team-oriented, enjoy working with people, and be proactive, flexible, and have the ability to work

  independently and accurately in a fast-paced environment.

• Strong general administrative and telephone skills

• 2+ years in an administrative, training, or sales support role of advisory business.
• Experience with TD Ameritrade and Charles Schwab institutional platforms.
• Bachelor’s degree.
• Series 65 or Series 7.

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step by step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.

• Comfortable working in a Microsoft Office environment.
• Experience with general office technologies, such as: scanning, email, fax, website navigation, uploading documents.
• Minimum High School Diploma, or equivalent required.
• Insurance industry background is desired.

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step by step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide reasonable accommodation to qualified individuals with disabilities.