Senior RIA Compliance Analyst - Human InterestView Company Profile
- Job Title
- Senior RIA Compliance Analyst
- Job Location
- United States, Remote
- Job Listing URL
- Job Description
Human Interest is on a mission to ensure that people in all lines of work have access to retirement benefits.
Nearly half of all working Americans are not saving enough for their future. Too often it’s because they are employed by a company that doesn’t offer a retirement plan. Human Interest is changing that by making it affordable and accessible for small and medium-sized businesses to offer employees a path to financial independence through retirement savings.
The Senior Analyst, RIA Compliance is responsible for supporting the development, implementation, and management of the day-to-day compliance program relating to Human Interest’s investment advisory business. The Senior Analyst, RIA Compliance will be responsible for moderately complex marketing reviews. The Senior Analyst, RIA Compliance will also be responsible for implementing and testing internal controls, maintaining necessary policies and procedures, providing necessary training, and partnering with the business across functions to ensure the company effectively manages risk related to its investment advisory business.
What you get to do every day
- Review and approval of marketing materials and collateral, and work closely with Human Interest’s Marketing teams to ensure compliance with all applicable laws, regulations, and best practices
- Proactive identification and enforcement of regulatory rule infractions and violations, including by regularly reviewing communications with clients and other surveillance tasks to verify compliance with policies and procedures
- Approve employee activities relating to Human Interest’s Code of Ethics
- Contribute to and help drive annual reviews, mock examinations, and other regular compliance activities
- Maintain RIA firm books and records and assist with regulatory filings
- Assist with regulatory examinations and ensure implementation of new policies and procedures
What you bring to the role
- Bachelor’s degree in business, finance, marketing, or pre-law, or other relevant field, or equivalent experience and education
- Three to five+ years of registered investment advisor compliance experience, with a history of increasing job responsibilities in prior roles
- Working knowledge of SEC rules and regulations pertaining to the new marketing rule, social media posts, and promotions, with the ability to partner with the Marketing team to bring the content into compliance
- This position is fully remote with a preference for candidates within the Pacific or Mountain Time Zone.
- Working knowledge of the Advisers Act, SEC rules and regulations applicable to RIAs, no action letters for digital advisors, and 401(k) retirement plans
- Strong understanding of fiduciary responsibilities and requirements pertaining to the disclosure of conflicts of interest.
- Strong understanding of operational and regulatory compliance practices in investment advisory businesses, and experience implementing control enhancements and operational efficiencies
Please feel free to apply to this position even if you do not meet 100% of the requirements listed above.
Why you will love working at Human Interest
Mission - Highly collaborative startup dedicated to supporting employee engagement and growth. It’s an opportunity to help solve one of the biggest unsolved problems in America: saving for retirement.
Culture - Our operating principles define how we come together as a team to do our work. They reflect Human Interest’s unique view on what’s important and what’s right. Documenting this core aspect of our culture helps employees make good decisions on their own. It also helps candidates considering career opportunities critically evaluate whether they will thrive at Human Interest.
- Customer obsession
- Long-term orientation
- Autonomous and accountable teams
- An escalating bar for talent and performance
- Fundamental optimism
Compensation - The salary range target for the role seniority described in this job description is $110,000 - $130,000. Final offer amounts depend on multiple factors including candidate experience and expertise, geographic location, compensation/equity mix, and market data. This position may also be eligible for additional incentives such as equity awards, short-term incentives, or sales compensation.
- A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
- Top-of-the-line health plans, as well as dental and vision insurance
- Generous PTO and parental leave policies
- Lyra - Enhanced Mental Heath Support for Employees and dependents
- Carrot - Fertility healthcare and family forming benefits
- Candidly - Student loan resource to help you and your family plan, borrow, and repay student debt
- Monthly work-from-home stipend; annual wellness stipend
- Employee Resource Groups including Veterans, Lift Ev’ry Voice, Pride, LatinX, Families, and Women in Tech
- Fun online and regional events and celebrations and department and company offsites
- The vast majority of our positions can be 100% remote
About Human Interest:
We’re a high-growth, Series D-funded company that’s changing the retirement industry. Named one of America’s Best Startup Employers by Forbes, one of the Best Places to Work by Built In, and a Top Company by Y Combinator, we’ve raised $500M and are backed by leading investors, including Blackrock, TPG (The Rise Fund), SoftBank, Glynn Capital, NewView Capital, USVP, Wing, Uncork, and others.
Human Interest is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran or military status, pregnancy, or any other characteristics protected under federal, state, or local laws.
Human Interest employees must adhere to the Company’s security policies and Code of Ethics.
Please note Human Interest does not accept unsolicited resumes from any source other than directly from candidates. We will not consider resumes from vendors including and without limitation search firms, staffing agencies, fee-based referral services, and recruiting agencies. Pursuant to the San Francisco Fair Chance Ordinance, we will consider employment-qualified applicants with arrest and conviction records. We comply with CCPA guidelines. See more: https://humaninterest.com/disclosures
Human Interest Headquarters Location
San Francisco, CA
Human Interest Company Size
Between 500 - 1,000 employees
Human Interest Founded Year
Human Interest Total Amount Raised
Human Interest Funding RoundsView funding details