Senior RIA Compliance Associate

We are seeking a nimble Senior RIA Compliance Associate in investment advisory / financial guidance. Your broad understanding of the financial regulatory landscape will support our development of innovative, best-in-class financial products and services for Fruitful Members. You will collaborate across teams to provide actionable regulatory compliance guidance and enhance our processes, training, and assessments. 

Core responsibilities include:

• 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, collaborating with relevant Fruitful teams
• Provide guidance and ongoing support on managing compliance risks and applying compliance requirements to Fruitful products and services
• Perform compliance testing and monitoring of compliance requirements and associated controls  (e.g. investment adviser code of ethics, UDAAP, GLBA, BSA/AML)
• Support regulatory filings like the ADV, exams, and information requests
• Provide training and maintain registrations for the Guidance Team

• 2+ years of experience in a compliance role, preferably within an RIA or consumer financial services sector. Fintech experience is a big plus
• Strong knowledge of and experience researching, interpreting, and applying key regulatory requirements, laws, and industry best practices (including but not limited to SEC, Investment Advisers Act, Securities Act, UDAAP, GLBA, BSA/AML, InfoSecurity Frameworks) 
• Experience in supporting Compliance Management Programs, Issue Management, Risk Assessment Methodologies, and Compliance Controls
• Creative perspective for finding solutions that ensure the best experience for our Members
• Independent problem solver that actively identifies areas of opportunity and/or need
• Technology-forward with a continuous improvement mindset, leveraging new tools to optimize processes and solve operational challenges.
• Excellent analytical, verbal and written communication skills
• Desire to join a fast-moving, early-stage, mission-driven company
• Default to building with AI