Regulatory and Compliance - Assistant Vice President

Ensure communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules. Conduct compliance monitoring programs relating to marketing materials, including updates to disclosure language. Coordinate with external counsel to obtain and incorporate regulatory guidance for marketing materials. Assist in maintaining and overseeing the compliance program for a registered investment adviser. Update and enhance policies and procedures and support ongoing compliance training initiatives. Support the preparation for, and response to, regulatory inquiries, examinations, and audits. Contribute to additional Regulatory and Compliance initiatives and ad hoc projects, as needed. Employees work in the office Monday-Thursday with remote flexibility on Fridays. The base salary range is $85,000 to $110,000.