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Senior Investment Advisor Compliance Consultant– ETF/Fund Focus

Full Time
Posted 1 month ago

Overview of Position

Responsible for managing relationships with Investment Advisor compliance clients, particularly RIAs managing registered products (ETFs and/or mutual funds), and providing those clients with expert advice and guidance related to the design and execution of their compliance programs.

This position can work in any Foreside office, or remotely.

Compensation for the successful candidate will be determined by a number of factors, to include previous experience, education and credentials.

Key Responsibilities

  • Serve as lead relationship manager and primary client liaison with RIA compliance clients. Working directly with compliance clients to design RIA compliance programs that are consistent with SEC and/or state regulatory requirements
  • Liaising with CCOs and compliance staff at the Fund level and assisting the RIA with periodic Fund compliance questionnaires and certifications
  • Researching SEC and/or state rules and regulations and communicating guidance to clients
  • Corresponding with regulators to facilitate client exams and registrations
  • Conducting (scheduled and ad hoc) conference calls and online meetings with Chief Compliance Officers to deliver guidance and advice with respect to regulatory best practices
  • Developing compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)
  • Conducting annual 206(4)-7 examinations
  • Maintaining firm records (calendars, project workflows and status updates), accounting records and time reporting
  • Assisting clients with compliance questions and other needs
  • Using creative thinking to brainstorm new services that add value to client relationships
  • Assisting in enhancing internal workflow and processes
  • Producing and delivering externally-focused compliance content (e.g. webinars, research notes, white papers)
  • Attend conferences and meetings as requested
  • Conducts self in a professional manner
  • Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
  • Other tasks and projects as assigned

Qualifications (Personal, Educational, Experience)

  • Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house), Experience with registered product (ETF or mutual fund) is critical, experience with Private Funds is a plus
  • Advanced knowledge of the Investment Advisers Act of 1940 and state laws, knowledge of the Investment Company Act of 1940 is a plus
  • Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
  • Excellent oral and written communication skills
  • Detail-oriented and multi-task capability
  • Independent Self-Starter – the ability to organize workload and meet deadlines
  • Service orientation with proven ability to provide superior customer service
  • Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
  • Ability to work both independently and as part of a team
  • Customer-focused attitude
  • Time management and organization skills, with a strong attention to detail
  • Strong written communication and oral communication skills


Sit:                        Total hours/day     6.5           Hours at one time           2.0

Stand:                   Total hours/day     1.0           Hours at one time           0.5

Walk:                    Total hours/day     0.5           Hours at one time           0.5

This position requires strong organizational skills, the use of a computer and other common office equipment throughout the day, and the ability to maintain mental focus.


40 hours per week with ability to work additional hours as necessary to meet client needs.

About Foreside

Foreside Financial Group, LLC provides customized solutions to the investment management industry. Our solutions include fund, broker-dealer and adviser compliance services, distribution consulting, legal underwriting, FINRA licensing to U.S. and non-U.S. sponsors of closed-end, open-end, exchange traded funds and private placements as well as retail and institution broker-dealers and investment management firms.

Foreside’s cost-effective, personalized solutions allow our clients to focus on asset management without sacrificing distribution and compliance best practices.

Job Features

Job CategoryIA and BD Consulting

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