Compliance Specialist - RIA
Job Summary
To support a growing wealth management firm, the full-time Compliance Specialist - RIA will manage marketing and vendor due diligence, administer AI governance oversight, and ensure compliance with regulatory standards in a remote work environment.
Key responsibilities
- Review and approve marketing materials and investor communications for compliance with regulations
- Administer the firm's AI governance and information security programs, including vendor due diligence
- Conduct compliance testing and monitor regulatory developments to assess compliance risks
Required qualifications
- 5+ years of relevant compliance experience in investment advisement or consulting
- Applied knowledge of the Investment Advisers Act of 1940 and SEC marketing regulations
- Bachelor's degree in finance, business administration, economics, marketing, or a related field
- Experience reviewing marketing materials for broker/dealer or investment adviser firms
- Understanding of information security and cybersecurity regulations
Complete Job Description
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