What are the responsibilities and job description for the Compliance Officer position at RWA Wealth Partners LLC?
Organization
RWA Wealth Partners is a boutique wealth management firm that provides customized solutions designed to help clients grow and protect their wealth so they can pursue a rewarding lifestyle, realize their goals, and create a legacy for generations.
Our team of professionals operates from six offices across the nation, serving over 6,000 clients and managing over $20 billion in assets.
We are looking for passionate individuals who are eager to make a difference in the lives of our clients while being part of a collaborative and innovative team. If you are ready to elevate your career in a dynamic environment that values respect, teamwork and personal growth, consider joining us at RWA Wealth Partners.
Role Overview
The Compliance Officer is responsible for supporting the development, implementation, and oversight of the firm’s compliance program in accordance with the Investment Advisers Act of 1940 and all applicable state and federal regulations. This role works closely with the compliance team, business partners, operations, the investment team, and client-facing teams to help ensure adherence to the firm’s policies, procedures, and regulatory obligations.
Responsibilities
Regulatory Compliance Program
- Maintain and continuously enhance the firm’s compliance program, including written policies and procedures designed to prevent violations of applicable laws and regulations.
- Participate in risk assessments and contribute to the development of risk‑based testing plans.
- Conduct periodic reviews and testing of business activities to assess the effectiveness of controls and identify areas for improvement.
- Monitor regulatory developments and support updates to internal policies and procedures based on changes in rules, guidance, or business practices.
Marketing and Communications Review
- Review and approve marketing materials, presentations, website content, social media, and other client‑facing communications for consistency with regulatory requirements.
- Verify that performance information, testimonials, endorsements, third‑party ratings, and other advertising content meet applicable standards and are appropriately substantiated.
- Maintain records of marketing reviews, supporting documentation, and approval workflows in accordance with books‑and‑records obligations.
- Partner with marketing and advisory teams to provide guidance on compliant communication practices.
Regulatory Filings and Documentation
- Assist with the preparation of regulatory filings (e.g., Form ADV, Form CRS, Form 13F).
- Maintain accurate compliance records, documentation, and audit trails consistent with books‑and‑records requirements.
Employee Training and Support
- Develop and deliver compliance training for employees on key regulatory obligations, policies, and ethical standards.
- Serve as a resource to employees by addressing compliance‑related questions and escalating issues as needed.
Incident Management
- Identify, document, and resolve potential compliance issues, including completing investigations and recommending corrective actions.
- Manage the escalation, reporting, and documentation of material compliance matters.
Projects and Project Management
- Contribute to compliance‑related projects (e.g., enhancements to operational processes or workflows, implementation of new compliance technologies).
- Collaborate with business partners to ensure projects align with regulatory standards and industry best practices.
Exams and Audits
- Participate in regulatory examinations and internal or external audits by preparing requested materials, coordinating responses, and assisting in remediation efforts.
Education, Experience and Qualifications
- Bachelor’s degree or equivalent experience.
- Experience working 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.
- Ability to maintain confidentiality and exercise sound judgment.
- Excellent written and oral communication skills.
- Highly organized with exceptional attention to detail.
- Ability to work in a deadline-oriented environment with changing priorities.
- Proficient in Word, PowerPoint and Excel.
- Experience with compliance technology platforms.
- Professional designations (e.g., IACCP®) a plus.
Compensation
The anticipated base salary range for this position is $120,000-180,000. Final base compensation will be carefully determined based on several factors including relevant knowledge, skillset, and experience. Additionally, this role is eligible for other forms of compensation and benefits, such as discretionary bonus, health, dental, and vision plans, and employer 401(k) contributions.
RWA Wealth Partners is an equal opportunity employer. We believe that the most effective way to invite and retain a diverse workforce is to build an enduring culture of inclusion and belonging. The Firm does not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations.
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Salary : $120,000 - $180,000