Part-Time RIA Compliance Officer | Former SEC Examiner Preferred

Nashville / Franklin, Tennessee

Approximately 8 Hours Per Week

$50 to $100 Per Hour DOE

All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description.

Primarily Remote | Onsite One Day Per Month

Valtrion Capital Management is seeking an experienced part-time RIA Compliance Officer to support our growing Registered Investment Adviser business.

We are specifically interested in candidates with significant regulatory and RIA compliance experience. Former SEC regulators, examiners, or attorneys are strongly preferred.

This is a senior part-time position for someone who understands how the SEC examines RIAs and can help us maintain a strong and practical compliance program as the firm grows. This person will work closely with our external compliance consulting firm. 

Responsibilities

• Support and oversee the firm's RIA compliance program

• Review policies, procedures, and regulatory requirements

• Assist with SEC examination readiness and exams.

• Review marketing, advertising, social media, and communications for compliance

• Assist with ADV filings, disclosures, books and records, and required documentation

• Conduct periodic testing and compliance reviews

• Identify potential compliance issues before they become problems

• Work directly with senior leadership and outside compliance and legal resources

• Help ensure the compliance program evolves as the firm grows

Ideal Candidate

• Former SEC regulator or examiner strongly preferred

• Significant experience working with SEC registered RIAs

• Strong knowledge of the Investment Advisers Act and SEC requirements

• Experience with SEC examinations and regulatory filings

• Practical, business minded approach to compliance

• Ability to work independently and communicate directly with senior leadership

• Must be located in the Nashville or Franklin, Tennessee area

Schedule and Compensation

Approximately 8 hours per week at $50 to $100 per hour , primarily remote.

Candidate must be available to work onsite at our Franklin office approximately one day per month and as needed for important compliance matters. xhyhwjd

This is an opportunity to work directly with the leadership team of a growing wealth management and financial services organization while maintaining a flexible part-time schedule.