Compliance Specialist RIA

Ritholtz Wealth Management; Arizona; Hybrid; USD 100,000 - 135,000; Full time

Benefits offered by this job

Comprehensive benefits package

401(k) with match

Generous PTO + paid parental leave

Community volunteering support

Diversity and inclusion culture

Job summary

Ritholtz Wealth Management is seeking a Compliance Specialist to join our team. This newly created role covers marketing and vendor due diligence, AI governance oversight, and books-and-records compliance.

This position also administers AI governance oversight, supports firm-level books and records compliance, and executes our ongoing monitoring and testing program. Given RWM's outsized content and media presence, marketing compliance carries real weight here.

Qualifications

• 5+ years of relevant investment adviser, investment company compliance, or compliance consultant experience.
• Applied knowledge of the Investment Advisers Act of 1940 and the broader regulatory framework applicable to registered investment advisers.
• Expertise in rules and regulations applicable to marketing activities, with an emphasis on the Investment Advisers Act and the SEC Marketing Rule.
• Bachelor's degree in finance, business administration, economics, marketing, or a related field.
• Experience reviewing marketing materials and other communications for broker/dealer and/or investment adviser firms preferred.
• Knowledge of equity and fixed income markets, trading practices, and securities products.

Responsibilities

• Review advertisements under Marketing Rule 206(4)-1 and assess substantiation.
• Review marketing materials, investor communications, website content, social media, blogs, and pitch books.
• Maintain substantiation files for all performance and factual claims; assist with disclosures.
• Maintain the firm's marketing policies and procedures; provide regulatory guidance.
• Review RFPs, due-diligence questionnaires, and data submissions as needed.
• Assist with administration of cybersecurity, information security, and AI governance programs.
• Conduct vendor due diligence related to information security and AI; monitor AI-supported client communications for compliance.
• Monitor AI tool usage against Marketing Rule; identify opportunities to improve compliance operations.
• Support Regulation S-P compliance and general compliance monitoring and testing.
• Develop training and awareness initiatives; assist with internal and external inquiries.

Skills

Regulatory compliance

Marketing compliance

AI governance

Information security

Regulatory analysis

Communication

Training & awareness

Education

Bachelor's degree in finance/business etc

Job description

About Us

Ritholtz Wealth Management is a fast-growing wealth management firm headquartered in New York City, with clients and employees across the country. We're a growing, cutting-edge Registered Investment Advisory (RIA) firm seeking highly motivated, career-oriented individuals who thrive in an energetic, collaborative environment and enjoy the challenge of delivering exceptional service to our clients.

Many RWM clients started out as followers of the firm's substantial media and content footprint, which includes weekly podcasts from The Compound. Our employees are part of a dynamic team shaping the future of investing. We deliver better client outcomes through leading content and communication, technology solutions, and time-tested investment strategies. RWM has carved out its niche by reaching clients through entertaining, informative content and taking on new opportunities, all while leaving its own footprint on the industry with events like the Future Proof Festival.

About the Role

We're adding a Compliance Specialist to our team! A newly created role covering some of the firm's highest-volume review work: marketing and vendor due diligence. This position also administers AI governance oversight, supports firm-level books and records compliance, and executes our ongoing monitoring and testing program.

Given RWM's outsized content and media presence, marketing compliance carries real weight here. You'll be reviewing a high volume of investor-facing content across podcasts, social media, and digital platforms. This is a great opportunity for a compliance professional who wants meaningful ownership from day one, exposure to a wide range of regulatory areas, and a seat at the table as the firm builds out its AI governance framework.

What You'll Do

Marketing & Communications Review

• Review and approve advertisements under Marketing Rule 206(4)-1, including performance presentations, testimonials, endorsements, and third-party ratings
• Review complex marketing materials, investor communications, website content, social media posts, blog/media commentary, and pitch books prior to publication
• Maintain substantiation files for all performance and factual claims
• Assist with drafting appropriate disclosures
• Maintain the firm's marketing policies and procedures
• Provide regulatory advice to stakeholders on the application of the firm's marketing guidelines
• Review RFPs, due-diligence questionnaires, and data submissions as needed

AI Governance & Information Security

• Assist with administration of the firm's cybersecurity, information security, and artificial intelligence governance programs
• Conduct vendor due diligence for third-party service providers as it relates to information security in the tech and AI space
• Monitor AI-assisted client communications and marketing content for compliance with the firm's AI use policy
• Monitor AI tool usage against the Marketing Rule
• Identify opportunities to leverage AI, automation, and technology to improve compliance operations and workflows
• Support and monitor compliance with Regulation S-P

Core Compliance Program

• Conduct testing for compliance with applicable regulations and marketing policies and procedures
• Monitor regulatory marketing-related developments, proposals, and amendments, and assess compliance risk to the firm's activities
• Assess compliance risks related to the firm's marketing activities and communicate effectively with the business, including senior management
• Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications
• Assist with compliance with books and records rules
• Assist with documentation of policies, procedures, and memos
• Conduct compliance monitoring and testing, including annual compliance testing and surveillances
• Manage day-to-day relationships and activities involving compliance-related service providers
• Assist with internal and external compliance-related inquiries
• Support additional regulatory, operational, and compliance-related projects as needed

What You'll Bring

• 5+ years of relevant investment adviser, investment company compliance, or compliance consultant experience
• Applied knowledge of the Investment Advisers Act of 1940 and the broader regulatory framework applicable to registered investment advisers
• Expertise in rules and regulations applicable to marketing activities, with an emphasis on the Investment Advisers Act and the SEC Marketing Rule
• Bachelor's degree in finance, business administration, economics, marketing, or a related field
• Experience reviewing marketing materials and other communications for broker/dealer and/or investment adviser firms preferred
• Knowledge of equity and fixed income markets, trading practices, and securities products
• Experience implementing compliance and archiving platforms
• Experience with regulatory filings, marketing review, compliance testing, and related compliance program responsibilities
• Understanding of information security and cybersecurity rules and regulations
• Experience using technology and AI tools to strengthen internal processes and reporting
• Exceptional analytical skills, curiosity, and the ability to learn new and complex concepts quickly
• Ability to work in a fast-paced environment, balancing immediate deadlines with longer-term projects
• Sound judgment in balancing regulatory and policy standards with business needs
• Strong written and oral communication skills, with a high degree of client service-mindedness
• Self-starter and independent thinker with a strong work ethic

Compensation & Benefits

The annual base pay range for this role is $100,000 – $135,000, commensurate with experience, plus comprehensive benefits. The salary offered will be determined by, but not limited to, experience, education, skill, location, and credentials.

Ritholtz Wealth Management is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other characteristic protected by applicable law.

Perks & Benefits

• Comprehensive benefits package
• 401(k) with match
• Generous PTO + paid parental leave
• Community volunteering support
• A culture that genuinely embraces diversity and inclusion

Veterans and military spouses are encouraged to apply.

We participate in E-Verify. We will provide the U.S. Social Security Administration (SSA) and, if necessary, the U.S. Department of Homeland Security (DHS) with information from each new employee's Form I-9 to confirm work authorization.