RIA Compliance Officer – $65,000 - $90,000 – Fleming Island, FL

The Role

Do you have a sharp eye for detail and a strong understanding of regulatory frameworks? Are you experienced in ensuring that businesses stay on the right side of compliance standards? If so, this could be the perfect opportunity for you!

We are a forward-thinking investment advisory firm committed to upholding the highest standards of integrity and transparency. Our team values collaboration, innovation, and a client-first approach in everything we do. We strive to create an environment where every team member feels empowered to contribute their best work.

As our RIA Compliance Officer, you will play a crucial role in ensuring our firm adheres to all applicable regulations. You will collaborate with senior leadership to foster a culture of integrity and compliance, helping to prevent regulatory breaches and safeguard the interests of our firm and its clients.

If this sounds like the perfect role for you, apply today and take the next step in your compliance career!

Key Responsibilities:

• Oversee compliance with all relevant regulations, including cybersecurity, SEC marketing rules, and client communications.
• Facilitate annual regulatory risk assessments, review compliance areas, and provide reports and recommendations.
• Track and address exceptions or deficiencies, working closely with the business to implement timely resolutions.
• Monitor trade activity, employee conduct, and personal securities trading.
• Oversee the firm’s compliance program, including drafting and reviewing policies and procedures.
• Keep current with regulatory filings and ensure they are processed on time (e.g., ADV, CRS, 13F).
• Manage SEC audits and monitor complaints.
• Offer ongoing training for employees, ensuring compliance with current and new regulations.

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Professional development assistance
• Vision insurance.

The Person

We are looking for someone who:

• Has a thorough understanding of the Investment Advisers Act of 1940
• Can provide clear guidance that balances regulatory requirements with business objectives
• Demonstrates excellent problem-solving skills and a methodical approach to compliance challenges
• Is adept at communicating compliance-related information to all levels of the business
• Is prepared to manage and oversee regulatory audits and investigations

#ecruit

Contact information

Ben de Grouchy