Advisor Guidance is seeking a part-time Investment Advisor Compliance Consultant to join our firm! The ideal candidate will be responsible for assisting Registered Investment Advisor (RIA) firms manage a variety of registration and regulatory compliance-related tasks, such as drafting and amending regulatory disclosure documents, analyzing compliance programs, reviewing advertisements, and conducting compliance reviews. As a high-touch, professional services firm, we’re looking for someone who is motivated, detail-oriented, and passionate about delivering high-quality services to our clients. 

What you’ll do:

• Work with a specified group of RIA firms to provide initial registration and ongoing compliance support.
• Actively respond to emails and phone inquiries pertaining to client matters.
• Customize regulatory filings and review existing firm regulatory and compliance program documents.
• Assist RIA clients with appropriate responses to, or liaise directly with, state and federal securities regulatory agencies.
• Contribute high-quality client content for our firm’s ongoing marketing initiatives.
• Collaborate with our sales representatives by participating in pre-sales prospect phone calls.

Who we’re looking for:

• Law degree or professional financial industry (e.g., CFA, CFP) and/or equivalent compliance experience, preferably with the U.S. Securities and Exchange Commission (SEC) or a state securities regulatory agency, or as a compliance officer with an SEC RIA firm for 5+ years.
• Knowledge and understanding of the Investment Advisers Act of 1940, Investment Company Act, Securities Exchange Act, and various state securities acts and rules, and other federal regulations affecting investment advisors.
• Ability to effectively analyze, solve, and communicate to clients complex compliance related issues.
• Excellent interpersonal skills, with the ability to manage relationships with clients, colleagues, and stakeholders at all levels.
• Demonstrated ability to work effectively within a client service-oriented, collaborative environment.
• Proficient in Microsoft Office Suite (Excel, Word, PowerPoint, & Outlook), working knowledge around FINRA CRD and IARD systems, and experience with CRM tools.

About us:

Advisor Guidance is a privately-owned, boutique registration, compliance, and brand development firm that specializes in helping small to midsize registered investment advisors (RIAs) overcome the challenges associated with launching and maintaining a fee-based advisory firm. Since 2010, our compliance-first approach has helped thousands of advisors successfully navigate their regulatory responsibilities and enabled them to run their firm with confidence. To learn more about us, please visit www.AdvisorGuidance.com.