Senior RIA Compliance Associate

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

📋 Description

• Support the Head of Compliance in the creation and improvement of the Compliance Program, which includes maintaining policies and procedures and addressing regulatory complaints.

• Evaluate marketing materials, product descriptions, and other consumer-facing communications to ensure compliance with regulatory standards, company policies, and industry best practices.

• Offer compliance assistance to the Guidance Team in resolving member issues, collaborating with relevant Fruitful teams.

• Provide direction and continuous support in managing compliance risks and implementing compliance requirements for Fruitful products and services.

• Conduct compliance testing and monitoring of compliance obligations and related controls (e.g. investment adviser code of ethics, UDAAP, GLBA, BSA/AML).

• Assist with regulatory filings such as the ADV, examinations, and information requests.

• Facilitate training and maintain registrations for the Guidance Team.

⛳️ Requirements

• A minimum of 2 years of experience in a compliance position, ideally within an RIA or consumer financial services sector. Experience in fintech is highly advantageous.

• Strong understanding of and experience in researching, interpreting, and applying essential regulatory requirements, laws, and industry best practices (including but not limited to SEC, Investment Advisers Act, Securities Act, UDAAP, GLBA, BSA/AML, InfoSecurity Frameworks).

• Experience in supporting Compliance Management Programs, Issue Management, Risk Assessment Methodologies, and Compliance Controls.

• A creative approach to finding solutions that prioritize the best experience for our Members.

• An independent problem solver who proactively identifies opportunities and needs.

• Technology-savvy with a mindset geared towards continuous improvement, utilizing new tools to enhance processes and address operational challenges.

• Exceptional analytical, verbal, and written communication skills.

• A strong desire to be part of a fast-paced, early-stage, mission-driven organization.

• An inclination to leverage AI in building solutions.

🏝️ Benefits

• Competitive compensation package that includes salary and equity.

• Flexible, self-directed time-off.

• Opportunity to work from your preferred location (remote or in our offices in NYC or DC).

• Stipend for work-from-home setup.

• 401(k) program with company matching.

• Comprehensive health benefits package with significant employer subsidies.