Compliance Manager - Wealth Management (RIA)

Description Please contact Michelle Espejo via LinkedIn or Email for fastest consideration for this opportunity.Our client is an esteemed independent registered investment advisor (RIA) firm, known for their tailored investment management strategies that cater to a diverse set of clients. This includes institutions, private clients, entrepreneurs, and family offices. They offer a wide array of services from asset allocation and portfolio management to customized wealth management, all with the aim of helping their clients reach their financial goals through a personalized and collaborative approach. A flexible HYBRID working schedule awaits you.Responsibilities:

Create and supervise effective compliance measures.

Set up strong internal controls and ensure they are followed.

Regularly test compliance policies and procedures.

Create and update company policies to keep them up-to-date.

Train employees on the rules and best practices in the industry.

Keep client folders well-organized and current.

Collect data needed for regulatory reports and filings.

Support the production of yearly and quarterly compliance reports.

Please contact Michelle Espejo via LinkedIn or email for additional info or any questions you may have. Requirements

3+ years of experience with RIAs

Proficient in regulatory filings, including Form ADV, Forms 13F, 13G, and 13H.

A bachelor's degree in finance, or related field.

Professional certifications like IACCP, CCEP, or CCRP are a plus.

Excellent communication skills, with the ability to handle multiple projects at once.

Please contact Michelle Espejo via LinkedIn or email for additional info or any questions you may have. Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.Robert Half will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.© 2024 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .