Compliance Officer

We are seeking a detail-oriented and highly motivated Compliance Associate to join our growing Registered Investment Adviser (RIA). The ideal candidate will have experience supporting regulatory compliance functions within an investment advisory firm, with a strong working knowledge of SEC regulations, regulatory filings, and the Investment Advisers Act of 1940

This individual will play an important role in maintaining and enhancing the firm's compliance program, supporting regulatory reporting obligations, and ensuring adherence to applicable SEC rules and regulations.

Key Responsibilities

• Assist with the administration and oversight of the firm's compliance program in accordance with the Investment Advisers Act of 1940 and applicable SEC regulations.
• Prepare, review, and coordinate SEC regulatory filings, including Form ADV Parts 1 and 2, Form CRS, and applicable amendments and annual updates.
• Assist with the preparation, maintenance, and testing of compliance policies and procedures.
• Support the Chief Compliance Officer (CCO) with annual compliance reviews, regulatory examinations, and ongoing compliance monitoring.
• Monitor regulatory developments, SEC guidance, and changes in applicable rules and regulations.
• Maintain compliance records, documentation, books and records, and regulatory reporting calendars.
• Assist with employee compliance matters, including personal securities transactions, code of ethics requirements, outside business activities, and conflicts of interest.
• Conduct periodic compliance reviews and assist in identifying and addressing potential compliance risks.
• Support the preparation and submission of other applicable regulatory filings and reports.
• Assist with responding to SEC examination requests, internal audits, and regulatory inquiries.

Qualifications & Experience

• Bachelor's degree in Finance, Accounting, Business, Legal Studies, or a related field preferred.
• Experience in compliance, preferably within an SEC-registered investment adviser, wealth management firm, or financial services organization.
• Strong working knowledge of the Investment Advisers Act of 1940 and applicable SEC rules and regulations.
• Fluency in English and Spanish
• Hands-on experience preparing, reviewing, and submitting SEC regulatory filings, particularly Form ADV and Form CRS.
• Familiarity with SEC compliance requirements, regulatory examinations, and investment adviser compliance programs.
• Understanding of fiduciary duty, conflicts of interest, custody requirements, advertising and marketing rules, and books and records requirements.
• Excellent organizational skills and attention to detail, with the ability to manage multiple deadlines.
• Strong written and verbal communication skills.
• Proficiency in Microsoft Office, particularly Excel and Word.