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Financial Services Compliance Specialist

Are you looking to grow and be part of a successful financial services team? Are you driven, self-motivated and client-focused while ensuring rules and regulations are followed? Our well-established and growing financial firm is expanding and seeking to add to our Compliance team.


Work in conjunction with the Chief Compliance Officer to manage the day-to-day requirements of the Compliance team’s responsibilities, including:

  • Review Marketing/Advertising materials to ensure compliance with the SEC’s “New Marketing Rule”, Rule 206-(4)-1.
  • Manage the Code of Ethics including providing direction to employees for adherence to the COE.
  • Interact with Supervised Persons to provide direction for adherence to the Cybersecurity policy and
  • Identity Theft Prevention program including performing related audits and training.
  • Conduct regular due diligence and receive regular updates of the IAR’s service providers, third party money managers and sub-advisors including ensuring compliance with our Information Security and Privacy policies.
  • Manage the email monitoring and archiving vendor relationship and be responsible for the archiving of electronic correspondence and social media platforms and the periodic review of e-mails and social media for adherence to applicable securities laws.
  • Perform IAR registrations and updates, U4/U5 updates, Section 13 filings, state notice filing requirements, and state insurance licensing requirements.
  • Review and submit annual updates and amendments to the RIA’s Form ADV 1A, 2A and CRS.
  • Document and analyze verbal and written complaints by reviewing details of client interactions and maintaining Complaint spreadsheet and associated books and records.
  • Perform audits and testing of the RIA’s policies and procedures.

Requirements for this Position

  • Bachelor’s Degree in Business, Economics or Finance
  • 3-5 years of RIA Compliance experience, with relevant experience in advertising review compliance
  • Experience in responding to SEC and State Regulatory inquiries is a plus
  • Strong working knowledge of the Investment Advisers Act of 1940
  • Understanding of the RIA structure and business acumen
  • Strong organizational, prioritization, interpersonal & management skills
  • Ability to work in a fast-paced, evolving environment with minimal supervision

Employment Type: Full-time

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