Compliance Specialist – RIA
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Job Description
Compliance Specialist reviewing investor-facing marketing and administering AI governance for Ritholtz Wealth Management, a registered investment advisory firm. Supporting regulatory testing, vendor due diligence, books and records, and compliance operations.
Responsibilities:
- Review and approve advertisements under Marketing Rule 206(4)-1, including performance presentations, testimonials, endorsements, and third-party ratings
- Review marketing materials, investor communications, website content, social media posts, blog/media commentary, and pitch books before publication
- Maintain substantiation files for performance and factual claims and assist with drafting disclosures
- Maintain the firm's marketing policies and procedures and advise stakeholders on marketing guidelines
- Review RFPs, due-diligence questionnaires, and data submissions as needed
- Administer cybersecurity, information security, and artificial intelligence governance programs
- Conduct vendor due diligence for third-party service providers in information security, technology, and AI
- Monitor AI-assisted client communications, marketing content, and AI tool usage for compliance
- Identify opportunities to use AI, automation, and technology to improve compliance operations and workflows
- Support and monitor compliance with Regulation S-P
- Conduct compliance testing, monitoring, annual testing, and surveillances
- Monitor regulatory developments and assess compliance risks related to marketing activities
- Partner with business stakeholders to deliver training, awareness initiatives, and communications
- Support books and records compliance and documentation of policies, procedures, and memos
- Manage relationships and activities involving compliance-related service providers
- Assist with internal and external compliance-related inquiries and additional regulatory, operational, and compliance projects
Requirements:
- 5+ years of relevant investment adviser, investment company compliance, or compliance consultant experience
- Applied knowledge of the Investment Advisers Act of 1940 and the regulatory framework for registered investment advisers
- Expertise in regulations applicable to marketing activities, especially the Investment Advisers Act and SEC Marketing Rule
- Bachelor's degree in finance, business administration, economics, marketing, or a related field
- Experience reviewing marketing materials and communications for broker/dealer and/or investment adviser firms preferred
- Knowledge of equity and fixed income markets, trading practices, and securities products
- Experience implementing compliance and archiving platforms
- Experience with regulatory filings, marketing review, compliance testing, and compliance program responsibilities
- Understanding of information security and cybersecurity rules and regulations
- Experience using technology and AI tools to strengthen internal processes and reporting
- Exceptional analytical skills and ability to learn new and complex concepts quickly
- Ability to balance immediate deadlines with longer-term projects in a fast-paced environment
- Sound judgment balancing regulatory and policy standards with business needs
- Strong written and oral communication skills
- Self-starter and independent thinker with a strong work ethic
Benefits:
- Comprehensive benefits package
- 401(k) with match
- Generous PTO + paid parental leave
- Community volunteering support
- A culture that genuinely embraces diversity and inclusion
- Veterans and military spouses are encouraged to apply
- Equal opportunity employer
- E-Verify participation
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