Compliance Specialist – RIA

🕒 August 8

🇺🇸 United States – Remote

💵 $100k - $135k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

👻 Ghost score 32%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Ritholtz Wealth Management

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2013

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

Ritholtz Wealth Management is a dynamic team of investment professionals dedicated to delivering comprehensive wealth management solutions. They provide tailored financial plans and offer services such as tax planning, insurance, estate planning, and corporate retirement planning. They emphasize a fiduciary relationship with their clients, ensuring trust, transparency, and rational explanations for their financial strategies. Their approach combines personalized guidance with a holistic view of financial planning, all aimed at securing and maximizing the impact of their clients' wealth.

📋 Description

• 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

🎯 Requirements

• 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

🏖️ Benefits

• 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