Senior Compliance Associate
Senior Compliance Associate (Remote)
Our client, a boutique financial services compliance consulting firm, is expanding its capabilities into the RIA and wealth management sector. To support this strategic growth, the firm is seeking a Senior Compliance Associate with deep experience advising RIAs and wealth managers-ideally gained within a compliance consultancy environment.
About the Role
The Senior Compliance Associate will be instrumental in building out the firm's new RIA/wealth management compliance practice. This individual will work directly with the Founder and Managing Directors, shaping service offerings, leading client engagements, and contributing to long‑term business development within this emerging vertical.
This role is ideal for someone who thrives in entrepreneurial settings and is motivated by the opportunity to influence and grow a new line of business.
Key Responsibilities
Compliance Program Development - Build and enhance compliance programs tailored to RIA and wealth management clients.
Regulatory Advisory - Advise clients on SEC and state regulatory requirements, examinations, filings, and ongoing obligations.
Client Consulting - Serve as a primary consultant, delivering customized compliance solutions and ongoing support.
Practice Buildout - Partner with leadership to design, launch, and scale the new RIA/wealth management compliance offering.
Policy & Procedure Oversight - Draft, review, and maintain compliance manuals, codes of ethics, and supervisory procedures.
Risk Assessment - Conduct risk reviews and gap analyses to identify and mitigate compliance vulnerabilities.
Training & Education - Develop and deliver compliance training for clients and internal teams.
Qualifications
5-10 years of experience in RIA and wealth management compliance, with strong preference for backgrounds in compliance consulting.
Deep understanding of SEC and state regulatory frameworks, including Form ADV, annual reviews, and examination processes.
Ability to work autonomously while collaborating closely with senior leadership.
Entrepreneurial mindset with interest in building and scaling a new business line.
Strong communication, client‑facing, and project‑management skills.
Compensation & Work Environment
Base salary: $150,000-$175,000, depending on experience.
Fully remote position with flexibility and direct access to firm leadership.
Opportunity to shape the direction and growth of a new practice area within an established financial services compliance consultancy.
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