Title: Compliance Consultant  

Location: Remote 

Reports To: Director of RIA Consulting 

Description: Synergy RIA Compliance Solutions provides Registered Investment Advisers with customized compliance solutions at an affordable price. The success of our consulting business is predicated on prompt responses to communications and building trusting relationships with clients. Synergy’s consultants foster a sense of confidence and authority with clients by applying their knowledge and expertise individually. 

Our goal is to serve our clients by creating a supportive environment where individuals can work independently within a structured environment. We’re looking for someone proactive, communicates well, and is self-motivated to grow as the company grows. 

Responsibilities:  

• Manage a book of 20+ relationships by proactively communicating with clients and being responsive to their needs;  

• Communicate high level RIA compliance topics in a clear and concise manner;  

• Prepare clients for regulatory examinations and guide them through the process; 

• Execute regulatory compliance supervisory tasks (email and trade reviews, drafting documents, executing filings on FINRA firm gateway, marketing reviews, etc.); 

• Draft and file form U4, form U5, ADV Parts 1 and 2;   

• Review and edit compliance program documents (Written Supervisory Procedures, Code of Ethics, etc.); 

• Execute annual compliance tasks (Financials Review, Suitability Review, Third-Party Vendor Due Diligence, etc.); 

• Maintain an extremely high level of security and confidentiality; 

• Systems you will work with daily: Salesforce, Airtable, Process St, Microsoft 365; 

• Programs requiring a high level of aptitude: Microsoft Word, Microsoft PowerPoint, Microsoft Excel, Google Docs, Adobe PDF files 

Qualifications:  

• 2 years as an RIA Compliance Consultant (or similar position) or, minimum 2 years experience working for a Registered Investment Adviser or Broker-Dealer; 

• In-depth knowledge of RIA regulations, SEC rules, and industry best practices of compliance and risk management; 

• Strong analytical skills with the ability to assess complex regulatory requirements and develop practical solutions; 

• Excellent communication skills, both written and verbal; 

• Detail-oriented mindset with a commitment to accuracy and precision in compliance-related activities; 

• 4-year degree from an accredited University, 2-year associate degree in Business Administration, or another applicable certification (see below); 

• Applicable certifications include IACCP®, Microsoft Professional Certification, Six Sigma Certification, or a Paralegal Associate Degree. 

• Other applicable certifications include previously held Securities Licenses such as Series 6, Series 7, Series 63, Series 66, etc. 

Benefits and Compensation:  

• Base salary ranges from $80,000 - $90,000 annually, based on skills and qualifications 

• Annual bonus opportunities, based on company performance 

• Optional travel opportunities to conferences; mandatory travel for team retreats (currently no more than twice per year) 

• 401(k) with company match 

• 3 weeks of annual PTO and all NYSE market holidays  

• IACCP® designation training and continuing education paid for by the company 

• Health / dental / vision insurance is partially paid for by the company  

• Disability insurance 

• Parental Leave Policy 

Before applying for a position with Synergy RIA Compliance Solutions, please note the following:  

1. We are not a FINRA member firm. This is not the right fit if you plan to maintain your securities license(s). 

2. We have a PTO blackout period from January 1 through March 31.  

3. We host an annual in-person retreat. Travel expenses are paid for by the company and attendance is mandatory.  

4. By completing this application, you agree to the following: Authorize applicant's current and former employers to release any information contained in the employee's personnel file or otherwise known. Release applicants current and former employers and all parties associated with the employers from any liability in connection with the release of such information.