Compliance Associate

Job Summary

Sage Spring Wealth Partners is seeking a Compliance Associate to join our compliance team. The Compliance Associate will be responsible for managing the marketing review process, administering compliance tests to confirm adherence to policies and procedures, handling tasks associated with vendor management, and supporting the firm’s compliance monitoring software. The ideal individual will exercise good judgment in a variety of situations, have strong written and verbal communication, time management, and organizational skills, and maintain balance among multiple priorities.

• Help manage marketing review and approval process for compliance with SEC Marketing Rule
• Perform tests in multiple areas of the firm to ensure that the Compliance Manual accurately reflects real practice and recommend changes where appropriate
• Assist in personal trade monitoring as well as maintain certain compliance attestations and certifications within the firm’s compliance monitoring software
• Assist with onboarding and offboarding investment adviser representatives
• Conduct regulatory research and assist in drafting internal guidance on training materials
• Help maintain required books and records
• Remain current on relevant regulatory changes and industry best practices to identify and mitigate potential compliance risks
• Contribute to the annual compliance review, Form ADV updates, and ongoing RIA compliance obligations
• Assist CCO with various ad hoc tasks as needed

• Bachelor’s degree or an equivalent combination of experience, education, and training
• Intermediate Microsoft Office and Excel skills
• Strong work ethic and a quick learner
• Detail-oriented, proactive, and able to thrive in a fast-paced, growing firm
• Ability to multi-task while maintaining accuracy
• Able to work independently, as well as collaboratively with others.
• Able to work on-site in Franklin, TN

• 2+ years of experience in compliance, legal, or regulatory role at an SEC-registered RIA (or similar financial services firm)
• Working knowledge of the Investment Advisers Act of 1940 and related SEC regulations as well as fiduciary standards
• Familiarity with compliance software platforms such as Compliance Alpha, Smart
  
  RIA, or similar

Seniority Level: Entry level

Employment Type:

Full-time

Location:

Franklin, TN

Salary: $70,600.00 - $