Securities Ria Compliance Analyst (Not It/Cyber, Medical, Or Banking

The successful candidate: Support the compliance manager Handle amendments to Form ADV and other IARD/CRD filings (e.g, 2B, U4, U5) and Edgar-based filings (e.g., 13F, 13H) 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- email review, 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. Draft compliance manuals, code of ethics, business continuity plans, and cybersecurity policies, and can review and analyze them for required updating Understands SEC rules and regulations and how they apply to advisers Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file Register new firms as independent investment advisers Performs other duties and projects as needed Qualifications: Experience and

Extensive previous experience with Form ADV and other regulatory documents Someone fanatical about client experience with a dedication to client responsiveness Passion for working in a fast-paced, small company environment Solution-oriented mindset RIA regulatory and/or NASAA experience Excellent written, organizational, and follow-up skills At least 3 years of experience 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 different business audiences Customer service-oriented Accountability is not a problem and consistently meets and surpasses expectations About Company We are a forward-thinking and innovative law firm that believes in making a meaningful impact on clients' lives. We have a strong team that works well together, and we're committed to maintaining a positive and supportive work culture. Join Our Growing Team: At our law firm, you won't just be an employee; you'll be part of a team that values growth, learning, and camaraderie. We take pride in the work we do and the difference we make in clients' lives. Don't Miss Out: Seize the opportunity to be part of something extraordinary! Apply now and take your career to new heights. Let's make a difference together! Apply To this Job Company : My RIA Lawyer Salary : Work from home .