Broker Check

Administrative Staff

Compliance & Operations Coordinator Position Available

Hybrid - RIA Compliance & Operations Coordinator

Job Title: Compliance & Operations Coordinator
Reports To: RIA Chief Compliance Officer
Location: Fresno, CA

Ford Financial Group is a Hybrid-RIA firm that comprehensive financial planning and investment management to our clients. With over 30 years of operation FFG strives to continue to grow in an evolving financial services industry, with the goal of providing excellent client service and advisor support.

The RIA Compliance and Operations Coordinator plays an integral part in supporting the firm’s efforts to maintain compliance with applicable federal and state regulatory requirements across various aspects of its business operations. The RIA Compliance and Operations Coordinator will assist the RIA Compliance and Operations team in the day-to-day administration of the firm’s investment adviser compliance program. The role will also support other operational functions of the firm.

Essential Duties and Responsibilities: The primary responsibilities of this role include, but are not limited to, the following:

  • Support the RIA Compliance and Operations team in the administration of the compliance and operations functions of the company.
  • Serve as OSJ delegate in the oversight of brokerage compliance.
  • Support the marketing material review process.
  • Assist with the maintenance of written compliance policies and procedures.
  • Help to develop training for employees and investment adviser representatives
  • Assist in the maintenance of Form ADV and other regulatory reports and filings.
  • Support audits, surveillance and other testing activities.
  • Research and develop knowledge of applicable laws, regulations, and rules.
  • Support other operational functions of the firm, including, but not limited to, developing streamlined processes related to firm CRM and internal operations, advisor/staff transitions, due diligence of third-party service providers, IT support, assisting in Admin team lead, etc.
  • Other responsibilities and projects as assigned.

Qualifications & Competencies:

  • Familiarity with the Investment Advisers Act of 1940 and related regulations.
  • Client service mentality and professional demeanor.
  • Results-oriented approach to work.
  • Strong interpersonal skills with the ability to establish rapport and trust.
  • Excellent verbal and written communication skills.
  • Detailed-oriented with strong decision-making and analytical skills.
  • Ability to exercise balanced, thoughtful judgment.
  • Advanced organizational skills and ability to manage multiple projects simultaneously.
  • Proficiency in data analysis using Microsoft Excel
  • Comfortable learning new software programs and a general curiosity for adopting new technology

Education and/or Experience:

  • Approximately 1-3 years of compliance and/or operations experience with an SEC-registered investment adviser.
  • Series 7, Series 65/66, and/or Series 24 preferred (I think required)
  • Bachelor degree preferred.

If this sounds like a position in which you would excel, please send us your resume (attached as a Word Document) with a cover e-mail to the attention of kbutler@fordfg.com. Also, please use your last name somewhere in your resume’s file name.

 

Administrative Support Position Available

We are looking to fill a part-time position with a college student looking for experience in the Financial Services industry working with an established financial planning firm. Ideally, we would like to recruit a student of sophomore or junior standing.

Tasks will primarily be clerical, such as:

  • Scanning
  • Filing
  • Greeting clients and covering the front desk
  • Providing support on various projects and client events
  • Data entry

This position is ideal for someone interested in working part-time while completing their college education with the prospect of growing into a career with Ford Financial Group. While an emphasis in Finance or a related business study, isn’t necessary, it is preferred.

The ideal candidate will present a professional demeanor, be a self-starter, goal-oriented, possess strong computer skills and a willingness to be a team player.

If you are interested or have someone to recommend for this position please reach out to Kelle Butler at kbutler@fordfg.com

Join our growing team!

Are you looking to make a switch to Ford Financial Group? As a member of our administrative staff, you can be apart of a diverse, professional workplace, where we prioritize the satisfaction of our clients, as well as our employees. Contact us by sending your resume to our Chief Compliance Officer, Kelle Butler, at kbulter@fordfg.com or call (559) 449-8690 if you have any questions.