RIA Operational Compliance Associate

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 operations work for registered investment adviser clients 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 best suited for someone who has worked directly within a registered investment adviser and understands the operational support required within an RIA compliance program. We are looking for someone who has been in the weeds with registered investment adviser compliance documentation, regulatory filings, client deliverables, checklists, and related compliance support, not simply someone with broad financial services, banking, or broker-dealer exposure.

Role and Responsibilities

• Read and understand technical and legal documents such as Investment Advisers Act rules and regulations, U.S. Securities and Exchange Commission guidance and alerts, contracts, compliance manuals, policies and procedures, forms, reports, statements, and marketing materials
• Support the preparation and reconciliation of data for regulatory filings, such as Form ADV, Form CRS, Form D, Form 13F, and related RIA compliance filings
• 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’
• Support lead consultants and/or Chief Compliance Officers with the operational execution of RIA compliance programs
• Assist with delivery-document preparation and organization for client compliance packets
• Work with compliance manuals, policies and procedures, Form ADV Part 2A, and related client-facing compliance documents
• Maintain a high level of accuracy, organization, and follow-through in a deadline-driven compliance environment

Qualifications and Education Requirements

• Prior compliance experience within a registered investment adviser required
• Familiarity with registered investment adviser operations, compliance programs, client deliverables, and regulatory filing support
• Experience supporting a Chief Compliance Officer, compliance team, or RIA operations/compliance function preferred
• Understanding of Form ADV, Form CRS, Form 13F, Form D, compliance manuals, policies and procedures, and marketing review processes preferred
• Candidates with only broad financial services, banking, or broker-dealer experience may not be the right fit unless they also have direct RIA compliance program, filing, documentation, or operational support experience.
• Associate’s or Bachelor’s degree in business, finance, or related field preferred
• 1 years of direct experience working in or supporting a registered investment adviser, preferably in a compliance, compliance operations, or administrative compliance support 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
• Microsoft Office proficiency
• Detail-oriented
• Knowledge of RIA or financial services technology, such as Orion, Redtail, eMoney, compliance tracking systems, document management systems, or similar platforms, 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
• Professionals who have the discipline, focus, and maturity to work successfully in a fully remote environment
• People who maintain a professional, distraction-free workspace and can stay focused during detailed compliance work
• Individuals who understand that flexibility comes with accountability, responsiveness, and strong client-service judgment

Compensation & Benefits

• Base salary starting at $75,000 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. 

Salary : $75,000