Senior RIA Compliance Associate
F
FruitfulFinancial Services
Remote, USAFull-TimeSenior
SalaryCompetitive compensation package including salary and equity
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Job Details
- Experience
- 2+ years of experience in a compliance role
- Required Skills
- Compliance
Requirements
- 2+ years of experience in a compliance role, preferably within an RIA or consumer financial services sector.
- Strong knowledge of and experience researching, interpreting, and applying key regulatory requirements, laws, and industry best practices.
- Experience with SEC, Investment Advisers Act, Securities Act, UDAAP, GLBA, BSA/AML, and InfoSecurity Frameworks.
- Experience in supporting Compliance Management Programs, Issue Management, Risk Assessment Methodologies, and Compliance Controls.
- Ability to operate as an independent problem solver.
- Technology-forward mindset with the ability to leverage new tools to optimize processes.
- Excellent analytical, verbal, and written communication skills.
- Fintech experience is a plus.
Responsibilities
- Assist the Head of Compliance in the development and enhancement of the Compliance Program, including maintaining policies and procedures and responding to regulatory complaints.
- Review marketing collateral, product copy, and other consumer-facing communications for adherence to regulatory requirements, company standards, and industry best practices.
- Provide compliance support to the Guidance Team in addressing member concerns and collaborating with relevant teams.
- Provide guidance and ongoing support on managing compliance risks and applying requirements to Fruitful products and services.
- Perform compliance testing and monitoring of requirements and associated controls, such as code of ethics, UDAAP, GLBA, and BSA/AML.
- Support regulatory filings like the ADV, exams, and information requests.
- Provide training and maintain registrations for the Guidance Team.
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