True West · 20 hours ago
Compliance Consultant
United States
Full-time
Remote
Senior Level
5+ years expTrue West Consulting is a fast-growing SEC compliance consulting firm focused on building trust and independence with clients. They are seeking an experienced RIA Compliance Consultant to guide clients through SEC compliance complexities and help shape service delivery as the firm scales.
Management Consulting
Responsibilities
Lead proactive, educational compliance meetings with RIA clients
Serve as the primary compliance partner for your client base
Help clients understand not just •what• to do—but •why• it matters
Draft, review, and maintain compliance manuals, policies & procedures, codes of ethics, risk assessments, and compliance calendars
Conduct annual Rule 206(4)-7 reviews and ongoing risk-based testing
Support regulatory filings including Form ADV, 13F, U4, and U5
Represent clients during SEC examinations and help manage responses and remediation
Develop and grow your own RIA client relationships
Participate in sales conversations and proposal development with support from firm leadership
Mentor and help develop compliance associates as the team grows
Collaborate with the consulting team on process improvements and best practices
Provide feedback on compliance technology and tools
Contribute ideas that improve efficiency, service quality, and client experience
Qualification
Required
5+ years of RIA compliance consulting or in-house compliance experience
Prior experience as an RIA CCO or Compliance Manager
Strong working knowledge of the Advisers Act, Investment Company Act, and SEC regulations
Excellent written, verbal, and presentation skills
High integrity, strong work ethic, and a client-first mindset
Comfortable working independently in a remote, fast-moving environment
Preferred
Bachelor's degree in business, finance, or a related field
Compliance certifications (IACCP, CCEP)
Existing industry relationships and business development experience
Tech-savvy; familiarity with platforms like Orion, Redtail, or eMoney
Benefits
Medical, dental, vision, life, and disability insurance
15 days of paid time off + 10 paid holidays
Flexible, fully remote work environment
Bonus Potential
Company
True West
Focused on Supporting Registered Investment Advisers, True West is your solution to becoming an independent RIA.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Nancy Harry
Founder
Company data provided by crunchbase