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RIA Compliance Officer

  • Location

    Orlando, FL or Birmingham, AL

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $120-140k base

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    RIA Compliance Officer

  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


We're working with a global Financial Services firm looking to add an experienced RIA Compliance Officer to its compliance program.

This opportunity can be located in Birmingham, AL, or Orlando, FL.

They are targeting candidates between $120-140,000 base.

What you'll be doing:

  • Provide general assistance/support related to the RIA Code of Ethics (COE) and Written Supervisory Policies (WSP).
  • Coordinate required annual 206(4)-7 review of WSPs, including assistance in reviewing, drafting, editing policies.
  • Perform certain daily/weekly/monthly routines that support the advisory compliance efforts and functions.
  • Review systems (Envestnet, Beta, ProSurv, etc.), reports, rules, and other reports to ensure Compliance and related Supervision efforts are supported or addressed.
  • Monitor/review Supervision with respect to advisory programs, ensuring accounts are not in violation of established Investment Policy (IP) Rules.
  • Coordinate annual/quarterly RIA COE Reporting, including Quarterly Transaction Reports, Annual Holdings Reports.
  • Onboard FAs as Supervised Persons, and/or Access Persons (AP). Maintain AP databases and related folders. Create or update (as needed) FA’s Form ADV 2Bs

What they're looking for

  • Bachelor’s degree level educated
  • 5+ years previous related RIA Compliance experience
  • FINRA Series 7, 65, or 66 preferred.
  • Strong knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account set up, billing and performance reporting.
  • Knowledgeable in the Investment Advisers Act of 1940

For more information regarding this opportunity please contact Thomas Byrne at Hamlyn Williams at or 646 349 4411

Due to the high volume of applications, we receive for compliance vacancies currently we are unable to provide tailored feedback to all applications we receive for job adverts.