Compliance Analyst

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Compliance Analyst

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 analyst will play a crucial role helping our clients operate their registered investment advisory (RIA) firms by handling Form ADV updates, coordinating with regulators on registration matters, and periodically communicating directly with the RIA as needed. Our company has offices in New York, Cleveland, and San Francisco, and this role can be in-office or remote.
 
What you'll do:
  • Handle amendments to Form ADV and other IARD/CRD filings
  • Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
  • Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
  • Assist with the RIA annual updating amendment/renewal process
  • Coordinate with colleagues (including those in client-facing roles) and directly with RIA clients (as needed)
  • Use CRM (Salesforce), messaging tools (Slack), as well as internally-developed software to track client matters
  • Actively participate in company and department meetings, providing feedback to improve internal processes
  • Utilize your knowledge of investment advisory regulation, licensing, and the RIA business model

What we're looking for:

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

 Benefits:

  • 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.