RIA Compliance Senior Analyst at Human Interest (Remote)
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 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.
Our values (the guiding principles that reflect our view on what’s important and what’s right): In it for customers, autonomous & accountable, outcomes driven, inclusive collaboration, and decisive.
The RIA Compliance Senior Analyst is responsible for supporting the development, implementation, and management of the day-to-day compliance program relating to Human Interest’s investment advisory business. Working closely with the RIA Compliance Senior Manager, the RIA Compliance Analyst will be responsible for ensuring compliance with all applicable rules and regulations relating to marketing content and collateral. The RIA Compliance Analyst 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
- Handle to completion RIA customer complaint escalations, and developing processes and procedures to mitigate future issues
- 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 the 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 marketing content, collateral, social media posts, and promotions, with the ability to partner with the Marketing team to bring the content into compliance
- Working knowledge of the Advisers Act, SEC rules and regulations applicable to RIAs, no action letter robo-advisers, 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.
Compensation - The salary range for this role is between $85,000 - $100,000. This information reflects a base salary range for this position based on current market data, and may vary by location. Exact compensation will be determined by the candidates' skills, experience, and other relevant factors. 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.
- Employees also receive 100% paid employee health, vision, and dental premiums; dependent premiums are covered at 50%.
- Generous PTO and parental leave policies.
- 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-wide 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 the San Francisco Business Times, and a Top Company by Y Combinator, we’ve raised $337M and are backed by leading investors, including TPG (The Rise Fund), SoftBank, Glynn Capital, NewView Capital, USVP, Wing, Uncork, and others.
Inclusive collaboration makes us a better business
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