Cannabis Senior Ria Compliance Consultant Jobs

Aspect Advisors is a regulatory compliance consulting firm that was founded in January 2019 with a mission to be the premier destination for innovative financial services firms that require modern customized solutions. Our clients are primarily investment advisers (including internet-only advisers), fund managers (Crypto, PE, VC, Hedge), broker-dealers, Fintech companies, and other unregistered finance-related firms.

Opportunity:

We are currently seeking aSenior Associate Consultant with a solid foundation in overseeing compliance matters related to investment advisors that manage both SMAs and funds. The ideal candidate is not only well-versed in traditional forms of investment such as public/private equity, debt, and real estate, but is also comfortable with contemporary forms of alternative investments such as cryptocurrency and cannabis. Senior Associates should also be capable of extrapolating their compliance knowledge to advise Fintech businesses that provide services to investment advisers and other financial firms.

This role is most suitable for candidates who are interested in cultivating their personal growth and pursuing a career at the intersection of innovation and finance. For a compliance professional, this is an exciting opportunity to join a rapidly-growing company and work on cutting-edge projects.

Responsibilities:

• Help clients meet their goals by providing strategy consulting services and helping them manage complexities of the financial regulatory regime,
• Independently oversee a number of assigned clients,
• Lead new client onboarding: interview key personnel, review existing compliance program materials, perform gap analysis,
• Customize and maintain clients’ policies and procedures to comply with SEC and state regulations, (i.e. creating a calendar to track the client’s ongoing compliance obligations and revamping clients’ Polies & Procedures Manuals,
• Analyze, prepare, and submit regulatory filings such as Form ADV, 13D/G, 13F, 13H, PF, and Form D and Blue Sky filings in conjunction with Compliance Analysts,
• Advise clients on their business model while applying the principles behind the Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulations,
• Review client marketing materials and communications (written and digital),
• Assist clients in the performance of compliance functions such as registering with the SEC or State Regulator, overseeing trade matters (i.e. client suitability/KYC, due diligence, insider trading), providing ethics training to investment adviser representatives, email review, etc., and
• Guide clients through every step of SEC and State exams and communicate with Regulators as necessary.

Qualifications:

Successful candidates will have many, if not all, of the attributes below:

• 3 – 8 years of relevant compliance experience at a registered investment adviser, exempt reporting adviser, broker dealer, law firm, or compliance consulting firm
• Bachelor’s Degree (business, finance, or related field preferred, but not required)
• Strong working knowledge of the IA Act ’40, IC ACT of ‘40, Securities Act ’33, SEA ’34, AML and Privacy rules
• Deep experience with RIA and/or private fund procedures and associated filings
• JD or Series 65/66 license is a plus
• Proficient in modern software: CRM; project management (tracking client work and deliverables), Microsoft 365 products (Outlook, Word, Excel); file-sharing systems (Box)

Bonus points for the following experience:

• Knowledge of rules and regulations for broker dealers, filings (NMA/CMA, Forms U-4, U-5, BR, BD) and procedures
• Ability to function as an outsourced Chief Compliance Officer (CCO)
• Experience with SEC and State Exam practices; ability to conduct mock exams
• Knowledge of CFTC / NFA rules

Required Skills:

• Self-directed high achiever: able to work independently in a fast paced and ever-changing environment.
• Commitment to customer service: focus on delivering quality work product in a timely manner, maintain an “open door” for clients to reach you for guidance.
• Proactive critical thinker: able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
• Effective communicator: able to confront conflict and difficult issues in a professional and proactive manner.
• Solid organizational and record keeping skills

Logistics:

• This is a full-time salaried position with benefits
• The firm is based in downtown San Francisco (all team members are working remotely during Shelter-in-Place restrictions; we are open to discussing permanent remote work)
• This position reports directly to the President and works closely with the COO
• Occasional travel may be requested for client meetings, audits, events, and conferences
• A background check will be required
• Compensation is competitive and commensurate with experience

To apply, please email a copy of your resume and a cover letter detailing your specific experience.

Job Type: Full-time

Pay: $110,000.00 - $150,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

COVID-19 considerations:Our team is working remotely from home during the pandemic.

Experience:

• compliance: 3 years (Required)

Company's website:

• www.aspectadv.com

Work Remotely:

• Temporarily due to COVID-19

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