We are Growing!

We are looking to expand our local compliance team! Specifically, GVA is looking for a motivated and talented Junior Compliance Analyst who is experienced in general advisory compliance operations. Are you familiar with investment advisor regulation and compliance? If so, we are interested in having you join our family!

Responsibilities include

  • Responding to registration and compliance questions from GVA’s staff
  • Working with GVA to prepare our annual SEC and state registration filings, and Form ADV
  • Working with GVA to review our compliance manual, codes of ethics, and other written policies and procedures
  • Researching GVA’s current and potential IARs registrations and licensing
  • Assist GVA’s CCO with advertising material reviews, third-party service provider oversight, and website reviews
  • Assist GVA’s CCO and staff with investment advisory agreement review
  • Review off-platform trading

Preferred Experience and Qualifications

  • Strong oral and written communication skills
  • Some knowledge of industry reporting rules and regulations is preferred
  • Ability to work both independently as well as in a small-team environment, and to multi-task with minimal supervision
  • Strong attention to detail
  • Orion Advisor Services a plus
  • Fidelity, Charles Schwab, or LPL Financial experience a plus
  • Salesforce experience preferred, but not required

Job Type

  • Part-Time (20 – 25 hours per week)
  • Monday to Friday during normal business hours
  • Located in our Chester Springs, PA office

About Great Valley Advisor Group

Great Valley Advisor Group (“GVA”) is a technology driven full-service Registered Investment Advisor. We partner with select independent financial advisors by providing customized technology, investment strategies, compliance, and back-office solutions to help them grow.

Interested? Please contact us today!