The Compliance Officer is a professional who Loves all things compliance and helping firms improve their compliance programs. The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs. The ideal candidate loves working in the background, collaborating when needed, and holds themselves to a high standard of work product and professionalism. Responsibilities: The successful candidate will: • Manage compliance programs for clients and may serve as the outsourced Chief Compliance Officer • Provide clients with guidance regarding best practices • Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H) • 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- 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. • Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating • Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file • Keep up with new and emerging regulation • Performs other duties and projects as needed Qualifications: • Comprehensive prior proficiency in Form ADV and other legal documents • Someone with a profound enthusiasm for customer service and devotedness to being timely when it comes to client needs • A passion for working in a fast-paced, small company setting • A way of problem-solving • Previous experience in RIA regulatory and/or NASAA • Stellar written, organizational, and follow-up talents • At least four to seven years of working for an RIA or law firm that caters to RIAs • Exceptional attention to detail and capacity to analyze data, identify patterns, and escalate matters as needed • Demonstrated critical thinking authority and fascination • Superb independent follow-up proficiency • Outstanding ability to manage time and multitask efficiently • Exceptional penmanship and verbal aptitude for different business circles • A customer service-oriented mindset • Keen to meet or exceed expectations without fail Compensation: $85,000 - $100,000 yearly

• The successful candidate will: • Manage compliance programs for clients and may serve as the outsourced Chief Compliance Officer • Provide clients with guidance regarding best practices • Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H) • 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- 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. • Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating • Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file • Keep up with new and emerging regulation • Performs other duties and projects as needed