Compliance Officer - Registered Investment Advisor

Full-time

Leeds Professional Resources

The Compliance Associate assists in monitoring internal operations, drafting regulatory disclosures, testing supervisory controls, and ensuring day-to-day adherence to SEC (or state) rules and firm policies.

Key Responsibilities

Regulatory Filings & Disclosures: Assist in drafting, updating, and filing Form ADV (Parts 1A, 2A/2B brochures, and Form CRS) and managing annual updating amendments.
Annual Reviews & Testing: Support the firm’s annual compliance review under Rule 206(4)-7 , including documenting testing procedures, identifying control gaps, and tracking remediation steps.
Policies & Procedures: Help maintain and enhance the firm's Compliance Manual, Code of Ethics, Written Supervisory Procedures (WSPs), and desktop guidelines.
Marketing & Communications Review: Review and approve marketing materials, client presentations, social media, and public communications to ensure compliance with SEC advertising rules.
Employee Compliance & Trade Monitoring: Track employee personal trading activity, manage quarterly/annual certifications, and enforce blackout or pre-clearance periods.
Billing & Operational Audits: Conduct periodic audits of client fee calculations and billing schedules to verify alignment with advisory agreements and Form ADV disclosures.
Regulatory Exams & Inquiries: Act as a point of contact during SEC/state examinations or regulatory audits by organizing requested documents and tracking responses.
Adviser Support: Serve as an internal resource for wealth advisors and operational staff regarding day-to-day compliance questions.

Qualifications & Requirements

Education & Experience

Education: Bachelor’s degree in finance, business, law, or a related field.
Experience: 3+ years of compliance, legal, or operations experience within an RIA, broker-dealer, or financial services firm.

Knowledge & Skills

Regulatory Knowledge: Familiarity with the Investment Advisers Act of 1940 , fiduciary duties, custody rules, and code of ethics standards.
Technical & Software Skills: Proficiency in Microsoft Excel (data analysis/reporting)
Communication: Strong written and verbal communication skills to translate complex regulations into plain-language guidance for advisors.
Discretion: High ethical standards and ability to handle sensitive, confidential client and employee data

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Vacancy posted 3 days ago

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