Job Description

Compliance Specialist – Registered Investment Adviser (RIA)/Broker Dealer (BD)

Location: In-Office at any of the following locations: Billings, MT; Bozeman, MT; Colorado Springs, CO; Denver; New York, NY; San Francisco, CA, Scottsdale, AZ; or Tucson, AZ

Full-time, Monday-Friday, 8am – 5pm

Pay: $58,500 - $70,000 per year

* Candidate must pass a background check. 

Compliance Specialist

The Compliance Specialist will serve as an integral part of this firm’s compliance team. As part of this team, the optimal candidate will assist in the operational administration of the firm’s compliance program, including, but not limited to: perform review of marketing materials, emails, and off-channel communications, help maintain policies and procedures, support regulatory filings and audits, help conduct due diligence on vendors, assist with training and education efforts, and collaborate with business units to ensure adherence to applicable regulations.

Requirements

The ideal candidate is a team player, proactive thinker, and problem solver with a strong ethical foundation and attention to detail. They should have experience in a fast-paced financial services environment, preferably within an RIA and/or BD.

Responsibilities

• Assist in the administration of the firm’s compliance program, ensuring adherence to SEC, FINRA, state, and/or other applicable investment advisory regulations.
• Assist with the preparation and submission of FINRA and SEC filings, including Form U4/U5, Form BD, and other registration requirements.
• Oversee and track compliance-related training, including annual compliance meetings and continuing education for advisory personnel.
• Monitor and review outside business activities, personal securities transactions, and other compliance disclosures in accordance with firm policies.
• Assist with vendor due diligence.
• Help maintain and improve compliance processes based on regulatory developments, and supporting new compliance initiatives.
• Perform email, marketing materials, and off-channel communication reviews.
• Assist in the development and maintenance of compliance manuals, procedures, and training materials.

Required Skills & Education

• Associate or Bachelor’s degree
• 3-5 years of experience in compliance for RIA and/or BD
• Knowledge of SEC, FINRA, and state regulations.
• Experience with regulatory filings, such as Form ADV.
• Strong analytical skills and attention to detail.
• Proactive, solution-oriented mindset; ability to identify risks and propose solutions.
• Excellent oral and written communication skills.
• Ability to work independently while managing multiple priorities.
• Proficiency in Microsoft Office (Word, Excel, PowerPoint); experience with compliance software platforms (e.g., ComplySci, MyRIA, or other compliance monitoring tools) is a plus
• Results oriented with ability to effectively manage tight deadlines.
• High level of professionalism, discretion, and integrity in handling sensitive information.

What We Offer

• Competitive salary and benefits, including medical, dental, and vision.
• 401k
• Paid time off and holiday schedule.
• A supportive, team-oriented culture with room for growth.

Equal Opportunity Employer

We are committed to building a workplace that embraces diversity and inclusion. All employment decisions are made without regard to race, color, religion, sex, national origin, age, disability, veteran status, or any other protected characteristic.

Disclaimer

Nothing in this job description restricts company’s right to assign or reassign duties and responsibilities to this job at any time.

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