Compliance Associate - RIA
Our client, a Registered Investment Advisor (RIA) group is experiencing rapid growth, and looking for a Compliance Associate to join the specialist compliance group as they scale responsibly. The firm are an individual client focused, RIA group dedicated to delivering personalized investment solutions and exceptional service. As they expand, they remain committed to maintaining the highest standards of regulatory compliance and ethical practices.
The Role
As Compliance Associate, you will be a key member of the compliance program, ensuring adherence to SEC regulations and industry best practices. You'll work closely with leadership to design, implement, and monitor policies that safeguard the firms clients.
Key Responsibilities
- Develop, maintain, and oversee the firm's compliance program in line with SEC requirements.
- Conduct regular reviews, audits, and risk assessments.
- Manage regulatory filings, including Form ADV and other required submissions.
- Provide compliance training and guidance to staff.
- Stay ahead of regulatory changes and proactively update policies and procedures.
Requirements
- 2+ years in compliance within an RIA or similar financial services environment.
- Strong understanding of SEC regulations governing the Wealth Management space as well as fiduciary standards.
- Detail-oriented, proactive, and able to thrive in a fast-paced, growing firm.
- Entrepreneurial spirit with a commitment to integrity and client-first values.
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