Compliance Officer – Registered Investment Advisor
Employment Type: Full-Time
Industry: Wealth Management / Registered Investment Advisor
About the Opportunity
The HT Group is partnering with a growing independent wealth advisory firm serving ultra-high-net-worth clients to find an experienced Compliance Officer to join its team.
Reporting directly to the firm’s Chief Compliance Officer, this individual will take an active role in the day-to-day administration and continued development of the firm’s regulatory compliance program. The position provides broad exposure across investment advisory compliance, portfolio and asset management, alternative investments, client reporting, and the firm’s proprietary investment vehicles.
This is an opportunity for an experienced RIA compliance professional to step into a highly visible role with direct access to senior leadership and meaningful responsibility across the firm’s compliance function.
What You’ll Do
- Perform regulatory compliance testing, monitoring, and surveillance related to registered investment advisor requirements.
- Monitor and analyze applicable laws, regulations, regulatory developments, and industry practices affecting the firm’s business.
- Support day-to-day compliance activities related to portfolio management, asset management, valuation, and client reporting.
- Review and approve investment management agreements and support compliance reviews involving alternative investments.
- Review offering documentation associated with proprietary pooled investment vehicles and separately managed accounts.
- Support investor contract management and oversight of client service obligations.
- Administer and monitor the firm’s Code of Ethics.
- Conduct due diligence and oversight of third-party sub-advisers and vendors.
- Review electronic communications and social media activity for regulatory compliance.
- Maintain and update supervisory procedures, compliance policies, and other required documentation.
- Provide compliance guidance to marketing, operations, and other business functions.
- Assist with the firm’s annual compliance program review under Rule 206(4)-7.
- Support regulatory examinations and interactions with the SEC and other securities regulators.
- Provide direct support to the Chief Compliance Officer on compliance initiatives and special projects.
What We’re Looking For
- Prior experience in a senior compliance role within a Registered Investment Advisor (RIA) environment.
- Experience supporting wealth management, private equity, pooled investment products, or a comparable regulatory environment.
- Strong knowledge of the Investment Advisers Act of 1940 and applicable U.S. federal securities laws.
- Experience interpreting regulatory requirements and applying them within an investment management organization.
- Ability to independently identify compliance issues, exercise sound judgment, and escalate matters appropriately.
- Strong written and verbal communication skills with the ability to work effectively across investment, operational, and business teams.
- Exceptional attention to detail and a high degree of accountability.
- Strong organizational and documentation skills with the ability to track issues, recommendations, and regulatory obligations through resolution.
What Makes Someone Successful Here
The strongest candidate will bring a combination of technical RIA compliance expertise and practical business judgment.
This role requires someone comfortable moving between regulatory testing, policy administration, investment-product review, employee compliance, vendor oversight, and questions coming directly from different areas of the business. You’ll need to understand the regulatory requirements while also being able to translate them into practical guidance for colleagues outside of compliance.
We’re looking for someone who is organized, accountable, collaborative, and comfortable taking ownership rather than waiting for issues to be brought to their attention.
Why This Opportunity?
This is not a narrowly defined compliance monitoring position. The Compliance Officer will have exposure to a broad range of responsibilities across an established SEC-registered investment advisor, including traditional wealth management, alternative investments, proprietary pooled vehicles, SMAs, portfolio management, and client-facing activities.
With a direct reporting line to the Chief Compliance Officer, the position offers an opportunity to become an important part of the firm’s compliance infrastructure while gaining exposure to regulatory matters across the broader organization.