Compliance & Operations Specialist

Job Location Scottsdale, AZ (In-Person, Full-Time Role) RMR Wealth is seeking a highly organized and motivated Compliance & Operations Specialist to join our team in Scottsdale, AZ. This position primarily supports the Chief Compliance Officer (CCO) in the ongoing management and enhancement of the firm’s compliance program, while also assisting advisors and clients with operational and service-related needs as a secondary responsibility. The ideal candidate will be detail-oriented, proactive, and comfortable working in a collaborative, high-integrity environment dedicated to client service excellence and regulatory best practices. Qualifications Bachelor’s degree in Business, Finance, or related field. 2–4 years of experience in compliance and/or operations within a Registered Investment Adviser (RIA) or related financial services firm. Strong understanding of the Investment Advisers Act of 1940 and related RIA regulatory frameworks. Experience with custodial systems (e.g., Fidelity, Schwab) preferred. Excellent organizational, communication, and problem‑solving skills. High attention to detail and ability to prioritize in a fast‑paced environment. Proficiency in Microsoft Office applications; familiarity with CRM or compliance technology a plus. Requirements Detail-oriented, with strong organizational and analytical skills. Excellent written and verbal communication skills for teamwork and regulatory interaction. Ability to multi‑task, prioritize, and work independently, especially in fast‑paced or deadline‑driven environments. Knowledge of risk management, process improvement, and compliance documentation preparation. Strong collaboration skills to work effectively across departments. Ethical, responsible, and maintain strict confidentiality. Independent thinker, proactive, and adept at problem solving. Responsibilities Compliance Support Assist the CCO with updating, implementing, and documenting firm compliance policies, procedures, and manuals, consistent with the Investment Advisers Act of 1940. Support compliance testing, monitoring, and reporting as part of the firm’s annual review process. Help prepare regulatory filings, disclosures, and responses (e.g., Form ADV, Form CRS, regulatory exams). Monitor employee trade and advertising reviews, code of ethics reporting, and marketing approval processes. Maintain compliance documentation, vendor due diligence files, and employee training records. Support recordkeeping, data management, and audit compliance requirements. Collaborate across departments to maintain alignment between compliance and business operations. Other ad hoc responsibilities. Advisory Operations Support Process client account openings, updates, and maintenance items through custodial platforms such as Schwab and Fidelity. Accurately handle client money movement requests (wires, checks, journals) in accordance with firm policies. Prepare and track paperwork for new and existing clients to ensure timely and complete processing. Provide responsive support to advisors on operational and client service matters. Coordinate with custodians and third‑party providers to resolve account or transaction issues. Contribute to workflow improvements and efficiency initiatives across advisor operations. Assist with data reconciliation, periodic reporting, and other administrative functions. Other ad hoc responsibilities. Annual salary range $65,000 - $75,000. Eligibility for Individual Performance Bonuses and Company Performance Bonuses. 401(k) and HSA with employer match. Two weeks of paid vacation and paid holidays off. Access to Health, Dental, Vision, and Life Insurance. #J-18808-Ljbffr JotForm Inc