Compliance Operations Specialist

United States Digital Space LLC; United States; Hybrid; USD 73,000 - 110,000; Full time

Benefits offered by this job

Health insurance

Equity opportunities

401(k) matching

Meal programs

Flexible benefits

Job summary

RAM Asset Management seeks a Compliance Operations Specialist to support the investment advisory business with regulatory, documentation, and process improvements. You will coordinate with multiple teams to solve problems, ensure fiduciary standards, and enable a compliant launch.

The role requires strong communication, attention to detail, and the ability to work in a fast-paced, innovative environment across several teams. In-person presence is expected in multiple offices.

Qualifications

• 4–6 years of operational or compliance experience with an investment adviser.
• Familiarity with the SEC Investment Advisers Act and FINRA regulations.
• Demonstrated written, verbal, and presentation skills to communicate clearly.

Responsibilities

• Operationalize the regulatory framework for a new business activity.
• Serve as primary resource for customer service and business teams.
• Validate supervision controls and procedures for accuracy.
• Respond to complaints and client inquiries.
• Identify risk areas and propose actionable solutions.
• Build workflows to meet regulatory and record-keeping requirements.
• Foster professionalism, client advocacy, and regulatory guidance across teams.
• Collaborate with RAM teams to support compliance needs.

Skills

Operational/compliance experience

SEC Advisers Act knowledge

Communication skills

Organizational skills

Problem solving

Tools

None

Job description

Join us in building the future of finance.

Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.

About the team + role

We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. the company isn’t a place for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards.

the company Asset Management (“RAM”) is a digital-first investment advisor responsible for delivering investment advice to its rapidly growing client base. RAM is continuing to expand its business activities to meet the needs of clients with broader, more complex, and comprehensive advisory needs. Working with innovative technology resources, RAM will meet the needs of its clients by delivering a unique financial planning service conveniently at their fingertips, anytime and anywhere.

The Compliance Operations Specialist will help support the operational aspects across the investment advisory business activities, including digital advice and a dedicated team of qualified relationship managers at the pre-launch stage. As a primary point of contact, you will coordinate with teams across the broader the company spectrum to identify and solve problems, research unique issues, and collaborate to achieve a successful launch. You'll help set and keep us on the path for a customer-friendly, compelling, and regulatorily compliant set of advisory services. You will be expected to apply the requirements of a fiduciary’s duty to serve clients and have experience documenting best practices and procedures, creating surveillance tools, and ensuring our operations follow our compliance program, especially in response to new rules and requirements.

This role is based in our Chicago, IL, New York, NY, Denver, CO, or Lake Mary, FL office(s), with in-person attendance expected at least 3 days per week.

At the company, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.

What you’ll do

• Operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
• Be a primary resource for customer service and business teams, and across the company’s affiliated companies
• Participate in validation that supervision and controls are in place, and procedures are accurate
• Research and respond to complaint resolution, and client inquiries
• Identify potential areas of risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
• Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.
• Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.
• Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.
• Work as a team, supporting compliance needs across RAM when needed.

What you bring

• 4-6 years of operational or compliance experience with an investment adviser
• Understanding of SEC Investment Advisers ‘40 Act and FINRA and regulations
• Demonstrated written, verbal, and presentation skills to communicate ideas and information in a clear, concise manner, whether directly to co-workers and leadership teams.
• Exceptional organizational skills with an ability to think critically, solve problems, and implement process improvements.
• Self-starter who pays close attention to the details.
• Awareness to spot and identify issues and proactively take steps to resolve.
• Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish lin

What we offer

• Challenging, high-impact work to grow your career
• Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
• Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
• Access to the the company Employee Fund that gives eligible US employees the opportunity to invest in a private employee fund that provides exposure to the company Ventures funds.
• Access to the best AI tools on the market and continuous AI skill-building for every employee, technical or not.
• Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
• Exceptional office experience with catered meals, events, and comfortable workspaces.

In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Base Pay Range:

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)

$94,000—$110,000 USD

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)

$82,000—$97,000 USD

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)

$73,000—$86,000 USD

Click here to learn more about our Total Rewards, which vary by region and entity.

If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.

the company provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspect