Registered Salesperson

Overview

LCV Management LP is an investment firm incorporated in the state of Delaware, managing both $500 Million Catalyst Fund and wealth management of UHNIs and Single-Family Offices.

The Registered Salesperson will assist clients in managing their financial planning and investment needs, develop tailored investment strategies, and provide expert financial advice.

• Ensuring exceptional customer service to meet client satisfaction

• Extensive experience in SEC regulatory compliance
• Prior experience serving as Registered Sales Person
• Strong working knowledge of:
• Investment Advisers Act of 1940
• SEC rules, guidance, and enforcement trends
• Compliance monitoring and risk assessment frameworks

• Excellent written and verbal communication skills
• Ability to work independently

• Adherence to the firm’s Compliance Manual and Code of Ethics
• Timely personal trading disclosures and attestations
• Accurate client suitability assessments and documentation
• Proper maintenance of client records and notes
• Participation in mandatory compliance training
• Prompt escalation of any potential compliance breaches

• Conduct client onboarding in compliance with SEC suitability and fiduciary standards
• Prepare and maintain Investment Policy Statements (IPS) where applicable
• Provide compliant investment recommendations aligned with client objectives
• Deliver timely and accurate client communications and disclosures
• Maintain regular client contact and documented review meetings
• Ensure proper handling of client complaints and inquiries

• Maintain detailed records of:
• Client meetings
• Advice provided
• Ensure records comply with SEC Books & Records Rules
• Update client information (KYC, risk tolerance, financial profile) periodically

• Act in the best interest of clients at all times (fiduciary duty)
• Avoid conflicts of interest or disclose them appropriately
• Ensure all marketing and communications are fair, balanced, and not misleading
• Comply with restrictions on testimonials, performance claims, and advertising

• Number of documented client review meetings conducted annually
• Timeliness of client responses
• Accuracy and completeness of client files
• Assets under management (AUM) growth (if applicable)
• Net new client relationships
• Contribution to firm initiatives (research, process improvement, training)
• 0 material compliance violations
• 100% on-time completion of compliance attestations
• No unresolved SEC or internal audit findings
• Timely completion of required regulatory training (100%)

• Experience with family offices, private funds, or alternative investments
• Bachelor’s degree in finance, Economics, Business, Accounting, or related field
• Advanced degrees (MBA, MS Finance, etc.) are a plus.
• Strong working knowledge of the Investment Advisers Act of 1940 and SEC fiduciary standards
• Familiarity with SEC advertising, recordkeeping, and disclosure requirements
• Familiarity with cross-border regulatory structures
• Compliance certifications (e.g., Series 65/66)
• Familiarity with portfolio management systems, CRM platforms, and compliance tools
• Proficiency in Microsoft Excel, Word, and reporting tools
• Understanding of cybersecurity and data-privacy best practices