Compliance Consultant

RIA in a Box Careers Page

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.

 
You can learn more about our team and company culture here: https://www.riainabox.com/our-company
 
 

What You'll Do

  • Work with a specified group of RIA firms to provide ongoing compliance support
  • Act as dedicated compliance support to those RIAs, proactively engaging clients to help shape their compliance program
  • Customize Form ADV filings and review existing firm regulatory documents
  • Actively respond to emails and phone inquiries pertaining to client matters
  • Assist with responses to regulatory audits
  • 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
  • Additionally, you will be responsible for reviewing marketing materials for a separate set of clients as another aspect of the role

What We're Looking For

  • RIA regulatory and NASAA experience (either at a State or SEC office)
  • Someone fanatical about a proactive 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

Benefits

  • Attractive base salary + bonus compensation
  • Unlimited PTO
  • Exceptional medical, dental, insurance, and 401(k) benefits
  • Directly contributing to the growth and success of a rapidly growing business
  • Ongoing professional development and direct training
  • Comradery and real time communication with like-minded colleagues
 

Think you're a good fit?

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.