Compliance Specialist – RIA

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🗽 New York – Remote

🗽 New York – Remote

💵 $100k - $135k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚔 Compliance

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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 and assist with drafting disclosures • Maintain marketing policies and procedures and advise stakeholders on marketing guidelines • Review RFPs, due-diligence questionnaires, and data submissions as needed • Administer cybersecurity, information security, and artificial intelligence governance programs • Conduct vendor due diligence for third-party service providers in information security, technology, and AI • Monitor AI-assisted client communications, marketing content, and AI tool usage for compliance • Identify opportunities to use AI, automation, and technology to improve compliance operations and workflows • Support and monitor compliance with Regulation S-P • Conduct compliance testing, monitoring, annual testing, and surveillances • Monitor regulatory developments and assess compliance risks related to marketing activities • Partner with stakeholders to develop and deliver training and awareness initiatives • Assist with books and records compliance and documentation of policies, procedures, and memos • Manage compliance-related service provider relationships and activities • Support internal and external compliance inquiries and additional regulatory, operational, and compliance 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 regulatory framework for registered investment advisers • Expertise in marketing rules and regulations, especially the Investment Advisers Act and SEC Marketing Rule • Bachelor's degree in finance, business administration, economics, marketing, or a related field • Experience reviewing marketing materials and 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 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 and ability to learn complex concepts quickly • Ability to balance immediate deadlines with longer-term projects in a fast-paced environment • Sound judgment balancing regulatory and policy standards with business needs • Strong written and oral communication skills and client service orientation • Self-starter and independent thinker with a strong work ethic • Must participate in U.S. employment authorization verification through Form I-9/E-Verify

🏖️ 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 employment • E-Verify participation