RIA Compliance Associate

True West; Denver (CO); On-site; USD 58,500 - 71,500; Full time

Benefits offered by this job

Medical, dental, and vision insurance

15 days PTO

10 paid holidays

Flexible work environment

Job summary

A flexible consulting firm in Denver is seeking an SEC Compliance Associate focused on executing high-quality compliance work and supporting registered investment advisors. This role involves communication with clients, managing regulatory filings, and providing operational support. Ideal candidates have a degree in business or finance, customer service experience, and strong organizational skills. The position offers a starting salary of $65,000+, remote flexibility, and a comprehensive benefits package, including medical and paid time off.

Qualifications

• 1+ years of experience in customer service or administrative role.
• Strong written and verbal communication skills.
• Ability to manage multiple projects simultaneously.

Responsibilities

• Provide operational support to registered investment advisors.
• Prepare and review regulatory filings and compliance documents.
• Calculate and manipulate data to ensure compliance.

Skills

Customer service experience

Strong communication

Organizational skills

Detail-oriented

Education

Associate’s or Bachelor’s degree in business or finance

Tools

Excel

SharePoint

Financial service technology (e.g. Orion, Redtail)

Job description

A unique opportunity to build skills, contribute meaningfully, and grow within a high-growth, flexible consulting firm where your voice truly matters.

The True West Difference

At True West, we have intentionally built something different. Our culture is rooted in flexibility, trust, and the belief that great work should support a full life, not compete with it. Our team has the autonomy to manage their schedules, be present for what matters outside of work, and operate without the constraints of a traditional office.

You won’t be siloed here. You’ll have visibility into the full client experience and the opportunity to contribute beyond a narrow role.

We are a high-growth, boutique firm where your voice matters. You’ll work directly with approachable, down-to-earth leaders who value ideas, celebrate wins, and genuinely invest in their people. Your voice will matter, not in theory, but in how we operate every day.

Grounded in the “Code of the West,” we hold a high bar for integrity, quality, and client service. In return, we offer a different kind of value exchange: competitive compensation paired with meaningful flexibility, autonomy, and the opportunity to grow alongside the firm.

Job summary

This role is focused on executing high-quality compliance work and building a strong foundation in RIA compliance. You will support client deliverables, follow established processes, and develop the technical skills needed to grow within the firm. This role is ideal for someone who:

• Enjoys both structure and problem-solving
• Takes pride in doing things right and improving how they’re done
• Wants to learn, grow, and have a voice in the process
• Values relationships, responsiveness, and high-quality client service

Role and Responsibilities

• Provide operational support to registered investment advisors, including reviews, annual and ad hoc regulatory filings, testing, email reviews, and related documentation
• Read and understand technical and legal documents such as Advisers Act rules and regulations, SEC guidance and alerts, contracts, compliance manuals, policies and procedures, forms, reports, statements, and marketing materials
• Reconcile data to complete regulatory filings (such as ADVs, CRS, Form D, Form 13F, etc.)
• Complete RIA employee email reviews and marketing material reviews for compliance with firm policies and SEC or state requirements
• Calculate and manipulate data from Excel spreadsheets to compare, reconcile, and identify areas of weakness to confirm conformance with rules and regulations
• Organize new client compliance files under a standard system
• Follow compliance tasks and checklists accurately
• Organize and store client documents in shared filing systems such as SharePoint and other electronic systems
• Embrace technology and learn new systems
• Gather meeting notes and input into client files accurately
• Build relationships and liaise with both client contacts and internal lead consultants
• Continuous Improvement - Develop best practices to improve service quality and productivity
• Technology Input - Provide input and feedback on technology solutions for RIA compliance and software development
• Professional Presence & Mindset - Thrive in a fast-paced, collaborative environment and align with the firm’s client service philosophy and the ‘Code of the West’

Qualifications and Education Requirements

• Associate’s or Bachelor’s degree in business, finance, or related field preferred
• 1+ years of experience in customer service or an administrative role
• Outstanding phone and email etiquette
• Strong communication and organizational skills
• Comfortable working independently
• Excellent written/verbal communication and presentation skills
• Strong interpersonal skills and ability to collaborate with colleagues, clients, and a team
• Flexibility to work independently and in a team environment
• Dedication to ethics, integrity, and client service
• Outstanding presence and professionalism across virtual meetings (Teams/Zoom), phone, and email communication
• Able to manage multiple projects simultaneously
• Detail-oriented
• Knowledge of financial service technology (e.g. Orion, Redtail, eMoney) a plus

Who Thrives Here

• Self-starters who take initiative without waiting to be told
• People who value flexibility but also take ownership of outcomes
• Individuals who enjoy both structure and continuous improvement
• Team players who communicate clearly and show up reliably
• Base salary starting at $65,000+ with bonus potential
• Medical, dental, vision, life, and disability insurance
• 15 days PTO and 10 paid holidays
• Fully remote, flexible work environment designed to support both high performance and personal life

Other Notes

The SEC Compliance Associate will report directly to the Lead Consultant. This is a unique opportunity to join a growing firm early and play a meaningful role in shaping its future. You will have the ability to influence how we build, operate, and serve our clients. We are intentional about creating an environment where your voice matters, your contributions are visible, and your growth is actively supported. Benefits include employee insurance including medical, dental and vision, life and disability insurance, 15 days of paid time off and 10 paid holidays and a flexible remote work location.