[Hiring] Compliance Specialist @Ritholtz Wealth Management

Role Description

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.

What You'll Do

• Marketing & Communications Review
  • 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.
• AI Governance & Information Security
  • 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.
• Core Compliance Program
  • 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.

Qualifications

• 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.
• Experience reviewing marketing materials and other communications for broker/dealer and/or investment adviser firms preferred.
• Knowledge of equity and fixed income markets, trading practices, and securities products.
• Experience implementing compliance and archiving platforms.
• Experience with regulatory filings, marketing review, compliance testing, and related compliance program responsibilities.
• Understanding of information security and cybersecurity rules and regulations.
• Experience using technology and AI tools to strengthen internal processes and reporting.
• 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.

Compensation & Benefits

• The annual base pay range for this role is $100,000 – $135,000, commensurate with experience, plus comprehensive benefits.
• The salary offered will be determined by, but not limited to, experience, education, skill, location, and credentials.

Perks & Benefits

• Comprehensive benefits package.
• 401(k) with match.
• Generous PTO + paid parental leave.
• Community volunteering support.
• A culture that genuinely embraces diversity and inclusion.
• Veterans and military spouses are encouraged to apply.