Investment Adviser Compliance Consultant

Description: Synergy RIA Compliance Solutions provides Registered Investment Advisers with customized compliance solutions at an affordable price. The success of our consulting business is predicated upon prompt responses to communications and building trusting relationships with clients. Synergy’s Consultants foster a sense of confidence and authority with clients by applying their knowledge and expertise individually.

Our goal is to serve our clients by creating a supportive environment where individuals can work independently within a structured environment. We’re looking for someone who is proactive, communicates well, and is self-motivated to grow as the company grows.

Responsibilities:

• Manage a book of 20+ relationships by proactively communicating with clients and being responsive to their compliance-related needs.
• Communicate complex RIA compliance topics in a clear, concise, and client-friendly manner.
• Prepare for and support clients through regulatory examinations and audits conducted by the SEC and state regulators.
• Execute regulatory compliance and supervisory tasks including email reviews, trade reviews, marketing reviews, document drafting, and regulatory filings via the FINRA Firm Gateway.
• Draft and file Forms ADV, U4, and U5.
• Review, edit, and maintain compliance program documents including Written Supervisory Procedures, Codes of Ethics, Business Continuity Plans, Cybersecurity Plans, and Incident Response Plans.
• Execute and support annual compliance program requirements including financial document reviews, billing reviews, suitability reviews, third-party service provider due diligence, and annual risk assessments and reports.
• Stay current on evolving regulatory requirements, guidance, and industry best practices impacting investment advisory firms.
• Represent Synergy at industry events, conferences, webinars, and professional forums as a subject‑matter resource.
• Maintain an extremely high level of security, confidentiality, and professionalism when handling sensitive client and firm information.

Systems You Will Work with Daily:

• Salesforce
• Airtable
• Process Street
• Microsoft 365 (Outlook, Teams, OneDrive)
• SharePoint

Programs Requiring a High Level of Aptitude:

• Microsoft Word
• Microsoft Excel
• Microsoft PowerPoint
• Adobe PDF tools

Qualifications:

• Two years as an Investment Adviser Compliance Consultant, or three years working in a compliance role for a Registered Investment Adviser or Broker-Dealer.  
• In-depth knowledge of the Investment Advisers Act of 1940 and the rules promulgated thereunder, as well as concomitant state regulations and rules.
• In-depth knowledge of RIA industry best practices of compliance and risk management.
• Strong analytical skills with the ability to contextually assess complex regulatory requirements and develop practical solutions.
• Excellent written and verbal communication skills.
• Detail-oriented mindset with a commitment to accuracy and precision in compliance-related activities.
• 4-year degree from an accredited university, or 2-year degree with additional compliance-related certification such as IACCP®.

*Synergy RIA Compliance Solutions is not a FINRA member firm. This opportunity is not the right fit if your primary objective is to maintain your FINRA securities license(s).

Benefits and Compensation:

• Base salary ranges from $90,000 - $95,000 annually, based on skills and qualifications.
• Salary is negotiable for a current IACCP® designee.
• Annual bonus opportunities, based on company performance.
• Optional travel opportunities to conferences; mandatory travel for team retreats (currently no more than twice per year).
• 401(k) with company match.
• 3 weeks of annual PTO and all NYSE market holidays
• IACCP® designationtraining and continuing education paid for by the company.
• Health / dental / vision insurance is partially paid for by the company.
• Disability Insurance.
• Parental Leave Policy.