Senior Compliance Officer, Wealth Management

RWA Wealth Partners, LLC

Newton (MA)

On-site

USD 120,000 - 180,000

Full time

14 days+

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Benefits offered by this job

Discretionary bonus

Health insurance

Dental plan

Vision plan

401(k)

Job summary

RWA Wealth Partners, LLC invites applications for a Compliance Officer in Newton, MA. The role supports development, implementation, and oversight of the firm’s compliance program under the Investment Advisers Act and related regulations.

The position collaborates with compliance, operations, investment, and client-facing teams to ensure adherence to policies and regulatory obligations. Requires a bachelor’s degree and experience in a registered investment adviser; strong communication and

Qualifications

Bachelor’s degree or equivalent experience.
Experience in a compliance, legal, or risk‑related function within a registered investment adviser.
Solid working knowledge of the Investment Advisers Act of 1940 and related state and federal regulations.
Strong analytical, problem‑solving, and organizational skills.
Excellent written and oral communication skills.
Proficient in Word, PowerPoint and Excel.
Experience with compliance technology platforms.

Responsibilities

Maintain and enhance the firm’s compliance program with policies and procedures.
Participate in risk assessments and develop risk‑based testing plans.
Conduct periodic reviews and testing of business activities to assess controls.
Monitor regulatory developments and update internal policies accordingly.
Review marketing materials, presentations, website content, and other client‑facing communications for regulatory compliance.
Verify advertising content is substantiated and appropriately documented.
Maintain records of marketing reviews and workflows.
Prepare regulatory filings (e.g., Form ADV, Form CRS, Form 13F) and maintain audit trails.
Develop and deliver compliance training for employees.
Address compliance questions and escalate issues as needed.
Identify and resolve potential compliance issues and recommend corrective actions.
Manage escalation, reporting and documentation of material compliance matters.
Contribute to compliance projects and implement new technologies.
Assist in examinations and audits.