Compliance Consultant


Compliance Consultant

We are looking for a driven, intelligent, team player motivated by contributing to the future of a fast growing entrepreneurial company. For candidates with NASAA or SEC experience, the compliance consultant will play a crucial role helping our clients operate their registered investment advisory (RIA) firms by consulting on regulatory matters, helping to update compliance documents, and interfacing with clients throughout the day. Our company has offices in New York, Cleveland and San Francisco, and this role can be in-office or remote.
What you'll do:
  • Work with a specified group of RIA firms to provide ongoing compliance support
  • Actively respond to emails and phone inquiries pertaining to client matters
  • Customize Form ADV filings and review existing firm regulatory documents
  • Use CRM (Salesforce), messaging tools (Slack), as well as internally-developed
    software to communicate with clients and track client progress
  • Help prepare proprietary firm resources, such as checklists and webinars
  • Utilize your knowledge of investment advisory regulation, compliance, and the RIA
    business model

What we're looking for:

  • RIA regulatory and NASAA experience (either at a State or SEC office)
  • Someone fanatical about client experience and dedication to client responsiveness
  • Solution oriented mindset
  • Extensive previous experience with Form ADV and other regulatory documents
  • Passion for working in a fast-paced, small company environment
  • Familiarity with technology, particularly SaaS platforms and Salesforce


  • Base + performance bonus
  • Three weeks paid time off, plus holidays
  • Full medical, dental and insurance benefits and 401(k)
  • Directly contributing to the growth and success of a rapidly growing business
  • Flat organizational structure
  • Ongoing professional development and direct training
  • Fun, casual, urban office environment located in New York City
Apply Here!
RIA in a Box® is a fast-growing, entrepreneurial financial services and technology firm, providing the leading number of registrations and ongoing compliance services to RIAs throughout the United States. Our mission is to provides the leading compliance solution for investment advisers. We put the client first by delivering innovative software and expert advice.
 RIA in a Box is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to their race, religion, ancestry, national origin, sex, sexual orientation, age, disability, marital status, domestic partner status, or medical condition.