Investment Adviser Compliance Consultant – Associate Director

Overview

• Join a leading compliance consulting firm supporting Registered Investment Advisers in maintaining regulatory standards and compliance programs.
• Collaborate with diverse clients to ensure adherence to the Investment Advisors Act of 1940.
• Contribute to the development and maintenance of compliance manuals and ethical procedures.
• Participate in SEC mock exams and assist clients during regulatory examinations.
• Leverage your expertise to establish compliant business practices and respond to inquiries.
• Work in a hybrid environment with flexibility and potential travel opportunities.
• Benefit from a comprehensive package including health plans, insurance, and retirement options.

Key Responsibilities & Duties

• Advise clients on compliance matters and establish effective compliance programs.
• Draft and maintain compliance manuals, codes of ethics, and Form ADV amendments.
• Support clients during regulatory examinations and respond to inquiries.
• Review marketing materials to ensure compliance with regulatory standards.
• Conduct annual reviews and participate in SEC mock exams.
• Serve as Chief Compliance Officer for Registered Investment Adviser clients.
• Build and nurture client relationships through networking and collaboration.

Job Requirements

• Bachelor’s degree in a related field and 5+ years of RIA compliance experience.
• Strong understanding of the Investment Advisors Act of 1940 and RIA business lines.
• Excellent communication, interpersonal, and organizational skills with attention to detail.
• Adaptability to work with a diverse client base and handle complex compliance issues.
• Experience in broker-dealer compliance and '40 Company Act is a plus.
• Position open to candidates across the U.S., with some travel required.
• Benefits include health plans, LTD insurance, life insurance, 401K, PTO, and commuter programs.