Compliance Consultant
Synergy RIA Compliance Solutions · United States
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- Hybrid
- Full-time
- $85,000 / year
- United States
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Job highlights
- Manage 20+ client relationships proactively.
- Advise on complex RIA compliance topics.
- Support clients through regulatory exams.
- Execute compliance tasks and filings.
- Maintain compliance program documents.
About the role
Compliance Consultant
Synergy RIA Compliance Solutions provides Registered Investment Advisers with customized compliance solutions at an affordable price. The success of our consulting business is predicated upon prompt responses to communications and building trusting relationships with clients. Synergy’s Consultants foster a sense of confidence and authority with clients by applying their knowledge and expertise individually.
Our goal is to serve our clients by creating a supportive environment where individuals can work independently within a structured environment. We’re looking for someone who is proactive, communicates well, and is self-motivated to grow as the company grows.
Responsibilities:
- Manage a book of 20+ relationships by proactively communicating with clients and being responsive to their compliance-related needs.
- Communicate complex RIA compliance topics in a clear, concise, and client-friendly manner.
- Prepare for and support clients through regulatory examinations and audits conducted by the SEC and state regulators.
- Execute regulatory compliance and supervisory tasks including email reviews, trade reviews, marketing reviews, document drafting, and regulatory filings via the FINRA Firm Gateway.
- Draft and file Forms ADV, U4, and U5.
- Review, edit, and maintain compliance program documents including Written Supervisory Procedures, Codes of Ethics, Business Continuity Plans, Cybersecurity Plans, and Incident Response Plans.
- Execute and support annual compliance program requirements including financial document reviews, billing reviews, suitability reviews, third-party service provider due diligence, and annual risk assessments and reports.
- Stay current on evolving regulatory requirements, guidance, and industry best practices impacting investment advisory firms.
- Represent Synergy at industry events, conferences, webinars, and professional forums as a subject-matter resource.
- Maintain an extremely high level of security, confidentiality, and professionalism when handling sensitive client and firm information.
Systems You Will Work With Daily:
- Salesforce.
- Airtable.
- Process Street.
- Microsoft 365 (Outlook, Teams, OneDrive).
- SharePoint.
Programs Requiring a High Level of Aptitude:
- Microsoft Word.
- Microsoft Excel.
- Microsoft PowerPoint.
- Adobe PDF tools.
Qualifications:
- Minimum three years working in a compliance role for a Registered Investment Adviser or Broker-Dealer, or minimum two years as an RIA Compliance Consultant (or similar position).
- In-depth knowledge of the Investment Advisers act and the rules promulgated thereunder, as well as concomitant state regulations and rules.
- In-depth knowledge of RIA industry best practices of compliance and risk management.
- Strong analytical skills with the ability to contextually assess complex regulatory requirements and develop practical solutions.
- Excellent written and verbal communication skills.
- Detail-oriented mindset with a commitment to accuracy and precision in compliance-related activities.
- 4-year degree from an accredited university, or 2-year degree with additional compliance-related certification such as IACCP®.
*Synergy RIA Compliance Solutions is not a FINRA member firm. This opportunity is not the right fit if your primary objective is to maintain your FINRA securities license(s).
Benefits and Compensation:
- Base salary ranges from $80,000 - $85,000 annually, based on skills and qualifications.
- Annual bonus opportunities, based on company performance.
- Optional travel opportunities to conferences; mandatory travel for team retreats (currently no more than twice per year).
- 401(k) with company match.
- 3 weeks of annual PTO and all NYSE market holidays.
- IACCP® designation training and continuing education paid for by the company.
- Health / dental / vision insurance is partially paid for by the company.
- Disability insurance.
- Parental Leave Policy.
Key skills/competency:
- RIA Compliance
- Investment Advisers Act
- Regulatory Examinations
- SEC and State Regulations
- Form ADV Filings
- Written Supervisory Procedures
- Risk Management
- Client Relationship Management
- Compliance Consulting
- Microsoft Excel
Skills & topics
- Compliance Consultant
- RIA Compliance
- Investment Advisers Act
- Regulatory Compliance
- SEC Examinations
- State Regulations
- Form ADV
- Supervisory Procedures
- Risk Management
- Broker-Dealer Compliance
- Salesforce
- Airtable
- Microsoft Excel
- Client Relationship Management
How to get hired
- Tailor your resume: Highlight your RIA/Broker-Dealer compliance experience and knowledge of relevant regulations.
- Craft a compelling cover letter: Emphasize your proactive communication and self-motivation, aligning with Synergy's values.
- Prepare for interviews: Be ready to discuss your analytical skills and experience with regulatory examinations and filings.
- Showcase your technical skills: Demonstrate proficiency with Salesforce, Microsoft Office Suite, and Adobe PDF tools.
- Research Synergy RIA Compliance Solutions: Understand their client-focused approach and commitment to customized solutions.
Technical preparation
Master RIA regulations and rules.,Practice drafting Form ADV, U4, U5.,Gain proficiency in Salesforce and Airtable.,Develop expertise in compliance document drafting.
Behavioral questions
Describe managing multiple client relationships.,How do you communicate complex topics clearly?,How do you handle regulatory audits?,How do you stay updated on regulations?
Frequently asked questions
- What specific experience is required for the Compliance Consultant role at Synergy RIA Compliance Solutions?
- Synergy RIA Compliance Solutions requires a minimum of three years in a compliance role at a Registered Investment Adviser or Broker-Dealer, or at least two years as an RIA Compliance Consultant. A 4-year degree is preferred, but a 2-year degree with a compliance certification like IACCP® is also acceptable.
- What are the key responsibilities of a Compliance Consultant at Synergy RIA Compliance Solutions?
- Key responsibilities include managing client relationships, communicating complex compliance topics clearly, supporting clients through regulatory examinations, executing various compliance tasks like email and trade reviews, drafting and filing regulatory forms, and maintaining compliance program documents.
- What systems and programs will I use daily as a Compliance Consultant?
- Daily systems include Salesforce, Airtable, Process Street, and Microsoft 365 (Outlook, Teams, OneDrive), and SharePoint. You will also need a high level of aptitude with Microsoft Word, Excel, PowerPoint, and Adobe PDF tools.
- Does Synergy RIA Compliance Solutions offer training or support for professional certifications like IACCP®?
- Yes, Synergy RIA Compliance Solutions offers paid training and continuing education for the IACCP® designation, supporting your professional development in compliance.
- What is the salary range for a Compliance Consultant at Synergy RIA Compliance Solutions?
- The base salary for the Compliance Consultant position ranges from $80,000 to $85,000 annually, depending on your skills and qualifications. Additional annual bonus opportunities are also available based on company performance.
- Is this Compliance Consultant role remote, hybrid, or on-site?
- While the description emphasizes a supportive environment for independent work, it doesn't explicitly state the work arrangement. However, the mention of 'mandatory travel for team retreats' suggests a potential for on-site or hybrid work, or at least required in-person presence for specific events.
- What is the company culture like at Synergy RIA Compliance Solutions?
- Synergy RIA Compliance Solutions fosters a supportive environment where individuals can work independently within a structured setting. They value proactive communication, self-motivation, and building trusting client relationships, aiming to provide customized compliance solutions.