Compliance Specialist – RIA

This is a fully remote position, open to applicants in United States.

📋 Description

• Evaluate and authorize advertisements in accordance with Marketing Rule 206(4)-1, which includes performance presentations, testimonials, endorsements, and third-party ratings.

• Assess marketing materials, investor communications, website content, social media updates, blog/media commentary, and pitch books prior to publication.

• Keep substantiation files for performance and factual claims and assist in drafting disclosures.

• Uphold the firm's marketing policies and procedures while providing guidance to stakeholders on marketing regulations.

• Review RFPs, due-diligence questionnaires, and data submissions as necessary.

• Oversee cybersecurity, information security, and artificial intelligence governance programs.

• Conduct vendor due diligence for third-party service providers in information security, technology, and AI.

• Supervise AI-assisted client communications, marketing content, and AI tool usage for compliance purposes.

• Identify opportunities to leverage AI, automation, and technology to enhance compliance operations and workflows.

• Support and ensure adherence to Regulation S-P.

• Perform compliance testing, monitoring, annual assessments, and surveillances.

• Keep track of regulatory developments and evaluate compliance risks associated with marketing activities.

• Collaborate with business stakeholders to provide training, awareness initiatives, and communications.

• Assist in maintaining books and records compliance and documentation of policies, procedures, and memos.

• Manage relationships and activities involving compliance-related service providers.

• Aid with internal and external compliance inquiries as well as additional regulatory, operational, and compliance projects.

⛳️ Requirements

• Over 5 years of relevant experience in investment adviser, investment company compliance, or as a compliance consultant.

• Practical knowledge of the Investment Advisers Act of 1940 and the regulatory framework governing registered investment advisers.

• Proficiency in regulations pertaining to marketing activities, particularly the Investment Advisers Act and SEC Marketing Rule.

• Bachelor's degree in finance, business administration, economics, marketing, or a related discipline.

• Preferred experience in reviewing marketing materials and communications for broker/dealer and/or investment adviser firms.

• Familiarity with equity and fixed income markets, trading practices, and securities products.

• Experience in implementing compliance and archiving systems.

• Background in regulatory filings, marketing review, compliance testing, and compliance program responsibilities.

• Knowledge of information security and cybersecurity regulations and requirements.

• Experience utilizing technology and AI tools to enhance internal processes and reporting.

• Exceptional analytical abilities and capacity to quickly grasp new and complex concepts.

• Capability to manage immediate deadlines alongside long-term projects in a dynamic environment.

• Judicious judgment in balancing regulatory standards and policies with business objectives.

• Strong written and verbal communication skills.

• Proactive self-starter and independent thinker with a solid work ethic.

🏝️ Benefits

• Comprehensive benefits package.

• 401(k) with matching contributions.

• Generous paid time off (PTO) plus paid parental leave.

• Support for community volunteering.

• A workplace culture that truly values diversity and inclusion.

• Veterans and military spouses are encouraged to apply.

• Equal opportunity employer.

• Participation in E-Verify.