Regulatory Compliance Associate – Registered Investment Advisor

Leeds Professional Resources; Florida; On-site; USD 65,000 - 90,000; Full time

Job summary

Leeds Professional Resources is seeking a Compliance Associate in Florida to help monitor day-to-day operations and ensure adherence to SEC rules and firm policies.

You will draft regulatory disclosures, assist with Form ADV and CRS filings, support annual reviews, supervise control testing, update the Compliance Manual, and help review marketing materials for compliance.

The role also involves monitoring employee trading, supporting exams, and serving as a resource for wealth advisors.

Qualifications

• Bachelor’s degree required in finance, business, law, or related field.
• Minimum 3 years of compliance, legal, or operations experience within an RIA, broker-dealer, or financial services firm.

Responsibilities

• Assist in drafting, updating, and filing Form ADV (Parts 1A, 2A/2B brochures, and Form CRS) and managing annual updating amendments.
• Support the firm’s annual compliance review under Rule 206(4)-7, including documenting testing procedures, identifying control gaps, and tracking remediation steps.
• Help maintain and enhance the firm's Compliance Manual, Code of Ethics, Written Supervisory Procedures (WSPs), and desktop guidelines.
• Review and approve marketing materials, client presentations, social media, and public communications to ensure compliance with SEC advertising rules.
• Track employee personal trading activity, manage quarterly/annual certifications, and enforce blackout or pre-clearance periods.
• Conduct periodic audits of client fee calculations and billing schedules to verify alignment with advisory agreements and Form ADV disclosures.
• Act as a point of contact during SEC/state examinations or regulatory audits by organizing requested documents and tracking responses.
• Serve as an internal resource for wealth advisors and operational staff regarding day-to-day compliance questions.

Skills

Regulatory knowledge

Communication

Discretion

Education

Bachelor’s degree in finance, business, law, or related field

Tools

Microsoft Excel

Job description

The Compliance Associate assists in monitoring internal operations, drafting regulatory disclosures, testing supervisory controls, and ensuring day-to-day adherence to SEC (or state) rules and firm policies.

Key Responsibilities

• Regulatory Filings & Disclosures: Assist in drafting, updating, and filing Form ADV (Parts 1A, 2A/2B brochures, and Form CRS) and managing annual updating amendments.
• Annual Reviews & Testing: Support the firm’s annual compliance review under Rule 206(4)-7, including documenting testing procedures, identifying control gaps, and tracking remediation steps.
• Policies & Procedures: Help maintain and enhance the firm's Compliance Manual, Code of Ethics, Written Supervisory Procedures (WSPs), and desktop guidelines.
• Marketing & Communications Review: Review and approve marketing materials, client presentations, social media, and public communications to ensure compliance with SEC advertising rules.
• Employee Compliance & Trade Monitoring: Track employee personal trading activity, manage quarterly/annual certifications, and enforce blackout or pre-clearance periods.
• Billing & Operational Audits: Conduct periodic audits of client fee calculations and billing schedules to verify alignment with advisory agreements and Form ADV disclosures.
• Regulatory Exams & Inquiries: Act as a point of contact during SEC/state examinations or regulatory audits by organizing requested documents and tracking responses.
• Adviser Support: Serve as an internal resource for wealth advisors and operational staff regarding day-to-day compliance questions.

Qualifications & Requirements

Education & Experience

• Education: Bachelor’s degree in finance, business, law, or a related field.
• Experience: 3+ years of compliance, legal, or operations experience within an RIA, broker-dealer, or financial services firm.

Knowledge & Skills

• Regulatory Knowledge: Familiarity with the Investment Advisers Act of 1940, fiduciary duties, custody rules, and code of ethics standards.
• Technical & Software Skills: Proficiency in Microsoft Excel (data analysis/reporting)
• Communication: Strong written and verbal communication skills to translate complex regulations into plain-language guidance for advisors.
• Discretion: High ethical standards and ability to handle sensitive, confidential client and employee data