RIA Compliance Paralegal (Remote)

My RIA Lawyer is a fast-paced, virtual, securities law firm. We are a team of attorneys, paralegals and compliance officers that service investment advisors and investment advisory firms across the nation. From start-ups to RIAs with billions under management, we offer a range of services from RIA registration and compliance to regulatory and enforcement defense to M&A and private fund services.

We are a diverse group of people, who are collaborative and efficiently helping our amazing clients. We value truth above all else and uphold our word- to ourselves, our teammates and clients.

The successful candidate: 

• Supports compliance officers in administering adviser compliance program for clients
• Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar based filings (e.g. 13F, 13 H)
• Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
• Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure 
• Assist with the RIA annual updating amendment/renewal process
• Coordinate with colleagues (including those in client-facing roles) and directly with RIA clients (as needed)
• Conduct RIA compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.
• Assists with meeting preparation and documentation of compliance tasks
• Understands SEC rules and regulations and how they apply to advisers.
• Adequately compiles and organizes materials; and compile relevant documents in databases and network drives to maintain an accessible file.
• Performs other duties and projects as needed

Experience and Qualifications Required

• Extensive previous experience with Form ADV and other regulatory documents
• Someone fanatical about client experience with dedication to client responsiveness
• Passion for working in a fast-paced, small company environment
• Solution oriented mindset
• RIA regulatory and/or NASAA experience (either at a State or SEC office)
• Excellent written, organizational and follow-up skills.
• At least 3 years working for a law firm

 

Other Skills Required

• Attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately.
• Must demonstrate strong critical thinking skills and curiosity. 
• Excellent independent follow-up skills. 
• Organizational and time management skills; ability to multitask.  
• Strong written and oral communication skills among difference business audiences
• Customer service oriented.

Compensation and Benefits:

• Full-time, permanently remote position
• Medical, dental and vision benefits
• 401(k) with matching
• Three weeks paid time off plus paid federal holiday holidays
• Ongoing professional development and direct training

Instructions for Applying:

Email your resume in PDF format to [email protected], with your first name and last name in the subject line, spelled backwards. Please also provide a discussion of your biggest professional challenges and how you addressed them.