Compass Rose Strategic Partners LLC • Waterford, CT, US
Posted 2 months ago
Description
Compass Rose Strategic Partners LLC is looking for a dynamic Finance and Office Manager with compliance responsibilities to join our team.
We use industry compensation data to inform our compensation plan.
Salary will be competitive and based on experience
Includes medical, 401(k) plan and PTO
Hours:
Full-time, in-person, Monday – Friday 8:30-5:00, with additional flexibility needed for special projects or after-hours support
As part of our firm's hiring and due diligence process, we may require background checks, fingerprinting, and personality and skills testing
Responsibilities
Key Accountabilities:
Accounting
Client Accounts
Set up and maintain client accounts in portfolio and billing software systems
Prepare quarterly client account billing and maintain billing files.
Preparation of client refunds or billing adjustments as they arise.
Address client questions and billing inquiries promptly
Manage internal accounting in QuickBooks, benefits administration, including 401(k) plan, and payroll coordination with ongoing supervision.
Maintain due dates for all office accounts payable and ensure checks prepared for timely payment monthly.
Coordinate with outside vendors as needed
Work closely with the Chief Compliance Officer (CCO) and outside accounting firm to maintain proper documentation for books and records substantiation requirements
Reconcile various income and expense accounts to QuickBooks annually with assistance from an accountant
Maintain strict confidentiality regarding payroll, benefits, and all firm data
Compliance and Technology
Perform various monthly, quarterly, and annual compliance tasks and ensure proper documentation
Coordinate with others in the office to ensure timely completion of compliance tasks assigned
Maintain compliance calendar and keep CCO abreast of calendar status.
Review with CCO monthly
Act as a liaison, and maintain a relationship, with the firm's compliance counsel and other third parties on compliance items, as assigned
Keep CCO abreast of any identified compliance related issues
Obtain documentation as requested by the CCO during any internal or outside audits
Develop and improve processes with CCO approval
Responsible for ensuring compliance documentation is in good order by performance of audits and feedback to reduce errors
Assist and support CCO with the following:
I
mplementing the firm's compliance policies and procedures, under the direction of the CCO, to ensure firm activities meet the requirements of state and federal laws, rules and regulations maintaining a firm-wide culture of compliance network administration and IT support, including equipment to CCO updating or amending internal compliance policies and procedures as needed ensuring annual cybersecurity training is completed and office-wide employees are following the firm's fraud and cybersecurity protocols and procedures
Office Duties and Equipment Maintenance
Completing tasks associated with onboarding new employees
Implement new processes and software technology when firm adopts
Assist with other office maintenance responsibilities as assigned, including coordination with outside contractors
When the receptionist is unavailable, greet and direct clients and other office visitors, screen and route phone calls
Handle a variety of other administrative functions, as assigned, to aid CCO to assist in firm management
Meet with CCO weekly or more as needed to keep CCO apprised of status
Qualifications
Skills and Qualifications
Ability to manage multiple tasks, prioritize effectively, and maintain a high level of accuracy
Advanced active listening and verbal and written communication skills.
Proactive and responsive
Possess a phenomenal and keen eye for detail.
Must be accurate, organized, and able to set priorities, and manage time appropriately in order to meet deadlines
Critical thinking and problem-solving acumen to identify and provide options and solutions to resolve issues for the CCO.
Is analytical with exceptional planning skills
Keen focus on working closely with, delivering exceptional service, and building a trusting and supportive relationship with the CCO
Highly professional and mature, who takes initiative as a self-starter and holds themself to the highest standards
Is tech-savvy and quickly learns new software, platforms, and tools
Exhibits strong ethics and dedication to maintaining high confidentiality of firm and client data
Is accountable, motivated, upbeat, and a positive team member
Is eager to learn about the industry and our firm and enjoys working in a fast-paced, hands-on environment
Is open to feedback and coaching
Education and Experience
Education: Bachelor's degree in accounting, finance or related business field
Work Experience in accounting, banking, legal or financial services preferred
Current ability to serve as a notary public or willingness to obtain
Proficient in QuickBooks and Microsoft Office software and ability to learn company software, platforms and tools
Familiar with Registered Investment Advisory (RIA) firm operations helpful
Compensation
$70,000 - $90,000 DOE
About Compass Rose Strategic Partners LLC
Compass Rose Strategic Partners is a well-established firm that has been consulting families in investment, college, retirement, and estate planning for over 32 years.
We take pride in putting clients' interests first and really listening to their needs and concerns.
We provide comprehensive financial planning with five-star service!
We are looking for a team member who wants to grow with us and is looking for a career, not a job!
Please do not contact our office directly.
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