RIA Compliance Professional
Job Description & Requirements
IB Group’s affiliate, Greenwich Advisor Compliance Services (“Greenwich Compliance”), offers registration and compliance services to investment advisors who wish to use the Interactive Brokers platform. IB Group and its Greenwich Compliance subsidiary are growing rapidly.
We are looking to expand our Greenwich Compliance team by adding several motivated and talented compliance professionals familiar with the compliance obligations of SEC- and state-registered investment advisors, the Investment Advisers Act of 1940 and similar state statutes. We will consider recent college, paralegal program, and law school graduates.
Depending upon qualifications and years of relevant professional experience, candidates may be considered for a junior or mid-level compliance professional position.
Responsibilities:
- Responding to registration and compliance questions from current and potential investment advisors.
- Working with advisors to prepare their SEC and state registration filings, including Form ADV filings.
- Working with advisors to draft their compliance manuals, codes of ethics, and other written policies and procedures.
- Interacting with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get investment advisors registered.
- Drafting various written materials for use by advisors to help them meet their compliance obligations and/or respond to regulatory inquiries.
- Drafting web content and periodic releases on compliance issues of interest to investment advisors.
- Drafting research memos and/or white papers on various regulatory topics.
- Researching registration and compliance questions from current and potential investment advisors and the business.
Qualification
- Bachelor’s degree (we would consider students working toward a degree).
- Anywhere from 0-5 years of experience in a business or office environment.
- Solid academic background.
- Strong attention to detail.
- Outstanding oral and written communication skills.
- Ideal candidate should possess at least two years of relevant experience related to investment advisor registration and/or compliance issues that affect advisors at a regulator, industry association, compliance firm, an investment advisory firm, or another broker-dealer or FCM. But we will consider candidates with less than two years of experience.
- High degree of comfort and fluency with computers and technology, and understanding of how technology is applied to business and regulatory problems
- Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment.
- Ability to proactively engage a diverse group of clients.
- Ability to work in a small-team environment and independently and to multi-task with minimal supervision.
- The employer will not sponsor an employment visa for this position.