Compliance Specialist – RIA

🕒 Agosto 8

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $100.000 - $135.000 / ano

⏰ Tempo Integral

🟡 Pleno

🟠 Sênior

🚔 Conformidade

👻 Score fantasma 25%

O que significa: quão provável esta vaga está aberta sem contratação ativa.Como ler: 60% ou mais significa que achamos que é uma vaga fantasma. Pontuações mais baixas preocupam menos.Como pontuamos: tempo em aberto, republicações, vagas abertas vs tamanho do time, rapidez para fechar vagas, e se o salário está divulgado.Observação: é uma estimativa de dados públicos, não um julgamento da empresa. Vagas reais podem ter pontuação alta, então use como uma dica, não como um fato.

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Ritholtz Wealth Management

SiteLinkedInTodas as Vagas

51 - 200 funcionários

Fundada em 2013

💼 Consultoria

🛡️ Seguros

💸 Finanças

Consulting • Insurance • Finance

A Ritholtz Wealth Management é uma equipe dinâmica de profissionais de investimento dedicada a oferecer soluções abrangentes de gestão de patrimônio. Eles fornecem planos financeiros personalizados e oferecem serviços como planejamento tributário, seguro, planejamento patrimonial e planejamento de aposentadoria corporativa. Eles enfatizam uma relação fiduciária com seus clientes, garantindo confiança, transparência e explicações racionais para suas estratégias financeiras. Sua abordagem combina orientação personalizada com uma visão holística do planejamento financeiro, tudo voltado para garantir e maximizar o impacto da riqueza de seus clientes.

Descrição

• Review and approve advertisements under Marketing Rule 206(4)-1, including performance presentations, testimonials, endorsements, and third-party ratings • Review marketing materials, investor communications, website content, social media posts, blog/media commentary, and pitch books before publication • Maintain substantiation files for performance and factual claims • Assist with drafting disclosures • Maintain marketing policies and procedures • Provide regulatory guidance on marketing guidelines • Review RFPs, due-diligence questionnaires, and data submissions • Administer cybersecurity, information security, and artificial intelligence governance programs • Conduct vendor due diligence for information security in technology and AI • Monitor AI-assisted client communications and marketing content for policy compliance • Monitor AI tool usage against the Marketing Rule • Identify opportunities to use AI, automation, and technology to improve compliance workflows • Support and monitor compliance with Regulation S-P • Conduct regulatory and marketing-policy testing and surveillances • Monitor regulatory developments and assess compliance risks • Assess marketing compliance risks and communicate with business stakeholders and senior management • Develop and deliver training and awareness initiatives • Assist with books and records compliance and policy documentation • Manage compliance-related service provider relationships • Support internal and external compliance inquiries and additional regulatory projects

🎯 Requisitos

• 5+ years of relevant investment adviser, investment company compliance, or compliance consultant experience • Applied knowledge of the Investment Advisers Act of 1940 and the broader regulatory framework applicable to registered investment advisers • Expertise in rules and regulations applicable to marketing activities, with an emphasis on the Investment Advisers Act and the SEC Marketing Rule • Bachelor's degree in finance, business administration, economics, marketing, or a related field • Experience reviewing marketing materials and other communications for broker/dealer and/or investment adviser firms preferred • Knowledge of equity and fixed income markets, trading practices, and securities products • Experience implementing compliance and archiving platforms • Experience with regulatory filings, marketing review, compliance testing, and related compliance program responsibilities • Understanding of information security and cybersecurity rules and regulations • Experience using technology and AI tools to strengthen internal processes and reporting • Exceptional analytical skills, curiosity, and ability to learn new and complex concepts quickly • Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects • Sound judgment in balancing regulatory and policy standards with business needs • Strong written and oral communication skills, with a high degree of client service-mindedness • Self-starter and independent thinker with a strong work ethic

🏖️ Benefícios

• Comprehensive benefits package • 401(k) with match • Generous PTO + paid parental leave • Community volunteering support • A culture that genuinely embraces diversity and inclusion • Veterans and military spouses are encouraged to apply • Equal opportunity employer • E-Verify participation and work authorization verification