Director of Registration


Director of Registration

We are looking for a driven, intelligent, team player motivated by contributing to the future of a fast growing entrepreneurial company. The Director of Registration will play a crucial role helping our clients operate their registered investment advisory ("RIA") firms by handling the RIA application process, coordinating with regulators, and interfacing with the client throughout the process.
Our company has offices in New York, Cleveland, and San Francisco, and this role can be in-office or remote.
You can learn more about our team and company culture here:
What you'll do:
  • Coordinate with new RIAs to draft documents tailored to their advisory practice, such as compliance manuals, advisory agreements, Form ADV, and Form U4
  • Keep clients apprised of status updates throughout the application process
  • Work with regulators to achieve registration for RIAs and their advisory personnel by responding to regulatory deficiency letters
  • Disclose conflicts of interest and review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
  • 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:

  • RIA regulatory and/or NASAA experience (either at a State or SEC office)
  • 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 with a high level of self-motivation and organization
  • Solution oriented mindset
  • Familiarity with technology, particularly SaaS platforms and Salesforce


  • Attractive base salary + bonus compensation
  • Three weeks paid time off, plus personal days and holidays
  • Exceptional medical, dental, insurance, and 401(k) benefits
  • Directly contributing to the growth and success of a rapidly growing business
  • Flat organizational structure
  • Ongoing professional development and direct training
  • Comradery and real time communication with like-minded colleagues
  • Fun, casual office environment
    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.