Start-up SEC compliance consulting firm seeking enthusiastic candidates that would like to be a part of a quickly
growing organization centered around client service. We are looking for an experienced RIA compliance
consultant looking to run and build their own book of business. Support for business processes, tools, strategic
marketing under an established brand will be provided. This position is best for candidates that have an interest
in building processes and efficiencies, having a voice in offering ideas and solutions and prioritize client
relationships. We prefer candidates who have over 5 years of experience in SEC compliance consulting as well
as meaningful relationships in the financial services industry.
ROLE AND RESPONSIBILITIES
Business Builder - Develop and grow an RIA client base, own the relationships, drive growth and help
train the consulting team
Lead sales efforts and proposals on potential client leads with support of firm owners
Communication and Leadership - Report and collaborate with consulting team on process
improvements, client issues
Client Service:
Lead regularly scheduled consulting meetings and deliverables with RIA clients under a
proactive, educational consulting model
Prepare, leverage, review written policies and procedures, risk assessments, compliance manuals, codes of ethics, compliance calendars
Perform annual 206(4)-7 reviews examining adviser's policies, procedures, and documentation
Conduct forensic testing and ongoing compliance monitoring based on risk assessments
Assist with regulatory filings such as Form ADV, 13F, U4, U5
Represent clients in SEC examinations and enforcement actions; develop action plans and
responses
Client Feedback - Develop best practices to improve service quality and productivity
Technology Input - Provide input and feedback on technology solutions for RIA compliance
Interpersonal Skills - Thrive on change and collaboration in a quickly moving environment, buy into
company philosophy on client service and the 'Code of the West'
QUALIFICATIONS AND EDUCATION REQUIREMENTS
Bachelor's degree in business, finance, or related field preferred
5+ years in RIA compliance consulting or in-house compliance role
Prior experience as RIA CCO • Deep expertise in Advisers Act, Investment Company Act, SEC regulations
Compliance certifications like IACCP or CCEP preferred
Excellent written/verbal communication and presentation skills
Existing network and business development experience
Strong interpersonal skills and ability to collaborate with colleagues, clients, and a team
Flexibility to work independently and in a team environment
Dedication to ethics, integrity, and client service
Outstanding phone and email etiquette
Able to manage multiple projects simultaneously
Microsoft Office proficient
Flexible schedule
Detail-oriented
Knowledge of financial service technology (e.g. Redtail, eMoney) a plus
BENEFITS
This is your opportunity to get in early with a women owned start-up willing to share in profits with those that take the risk and contribute in a meaningful way to help grow the business. It is our priority to make sure that you have a voice in the decisions made by the business. Benefits include:
75% of employee insurance including medical, dental and vision, life and disability insurance,
PTO to increase to 4 weeks after 2 years of employment
10 paid holidays
Cell phone/internet reimbursement
Eligible for 401(k) Plan with employer contribution of 3% of compensation for employees after 1 year of Service