Compliance Specialist - RIA

Ritholtz Wealth Management

80d•$100,000 - $135,000•Onsite

About The Position

We're adding a Compliance Specialist to our team! A newly created role covering some of the firm's highest-volume review work: marketing and vendor due diligence. This position also administers AI governance oversight, supports firm-level books and records compliance, and executes our ongoing monitoring and testing program. Given RWM's outsized content and media presence, marketing compliance carries real weight here. You'll be reviewing a high volume of investor-facing content across podcasts, social media, and digital platforms. This is a great opportunity for a compliance professional who wants meaningful ownership from day one, exposure to a wide range of regulatory areas, and a seat at the table as the firm builds out its AI governance framework.

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 broader regulatory framework applicable to registered investment advisers
Expertise in rules and regulations applicable to marketing activities, with an emphasis on the Investment Advisers Act and the SEC Marketing Rule
Bachelor's degree in finance, business administration, economics, marketing, or a related field
Knowledge of equity and fixed income markets, trading practices, and securities products
Understanding of information security and cybersecurity rules and regulations
Exceptional analytical skills, curiosity, and the ability to learn new and complex concepts quickly
Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects
Sound judgment in balancing regulatory and policy standards with business needs
Strong written and oral communication skills, with a high degree of client service-mindedness
Self-starter and independent thinker with a strong work ethic

Nice To Haves

Experience reviewing marketing materials and other communications for broker/dealer and/or investment adviser firms preferred
Experience implementing compliance and archiving platforms
Experience with regulatory filings, marketing review, compliance testing, and related compliance program responsibilities
Experience using technology and AI tools to strengthen internal processes and reporting

Responsibilities

Review and approve advertisements under Marketing Rule 206(4)-1, including performance presentations, testimonials, endorsements, and third-party ratings
Review complex marketing materials, investor communications, website content, social media posts, blog/media commentary, and pitch books prior to publication
Maintain substantiation files for all performance and factual claims
Assist with drafting appropriate disclosures
Maintain the firm's marketing policies and procedures
Provide regulatory advice to stakeholders on the application of the firm's marketing guidelines
Review RFPs, due-diligence questionnaires, and data submissions as needed
Assist with administration of the firm's cybersecurity, information security, and artificial intelligence governance programs
Conduct vendor due diligence for third-party service providers as it relates to information security in the tech and AI space
Monitor AI-assisted client communications and marketing content for compliance with the firm's AI use policy
Monitor AI tool usage against the Marketing Rule
Identify opportunities to leverage AI, automation, and technology to improve compliance operations and workflows
Support and monitor compliance with Regulation S-P
Conduct testing for compliance with applicable regulations and marketing policies and procedures
Monitor regulatory marketing-related developments, proposals, and amendments, and assess compliance risk to the firm's activities
Assess compliance risks related to the firm's marketing activities and communicate effectively with the business, including senior management
Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications
Assist with compliance with books and records rules
Assist with documentation of policies, procedures, and memos
Conduct compliance monitoring and testing, including annual compliance testing and surveillances
Manage day-to-day relationships and activities involving compliance-related service providers
Assist with internal and external compliance-related inquiries
Support additional regulatory, operational, and compliance-related projects as needed