Compliance Specialist - RIA

About Us

Ritholtz Wealth Management is a fast-growing wealth management firm headquartered in New York City, with clients and employees across the country. We're a growing, cutting-edge Registered Investment Advisory (RIA) firm seeking highly motivated, career-oriented individuals who thrive in an energetic, collaborative environment and enjoy the challenge of delivering exceptional service to our clients.

Many RWM clients started out as followers of the firm's substantial media and content footprint, which includes weekly podcasts from The Compound. Our employees are part of a dynamic team shaping the future of investing. We deliver better client outcomes through leading content and communication, technology solutions, and time-tested investment strategies. RWM has carved out its niche by reaching clients through entertaining, informative content and taking on new opportunities, all while leaving its own footprint on the industry with events like the Future Proof Festival.

About the Role

We're adding a Compliance Specialist to our team! A newly created role covering some of the firm's highest-volume review work: marketing and vendor due diligence. This position also administers AI governance oversight, supports firm-level books and records compliance, and executes our ongoing monitoring and testing program.

Given RWM's outsized content and media presence, marketing compliance carries real weight here. You'll be reviewing a high volume of investor-facing content across podcasts, social media, and digital platforms. This is a great opportunity for a compliance professional who wants meaningful ownership from day one, exposure to a wide range of regulatory areas, and a seat at the table as the firm builds out its AI governance framework.

What You'll Do

Marketing & Communications Review

- Review and approve advertisements under Marketing Rule 206(4)-1, including performance presentations, testimonials, endorsements, and third-party ratings

- Review complex marketing materials, investor communications, website content, social media posts, blog/media commentary, and pitch books prior to publication

- Maintain substantiation files for all performance and factual claims

- Assist with drafting appropriate disclosures

- Maintain the firm's marketing policies and procedures

- Provide regulatory advice to stakeholders on the application of the firm's marketing guidelines

- Review RFPs, due-diligence questionnaires, and data submissions as needed

AI Governance & Information Security

- Assist with administration of the firm's cybersecurity, information security, and artificial intelligence governance programs

- Conduct vendor due diligence for third-party service providers as it relates to information security in the tech and AI space

- Monitor AI-assisted client communications and marketing content for compliance with the firm's AI use policy

- Monitor AI tool usage against the Marketing Rule

- Identify opportunities to leverage AI, automation, and technology to improve compliance operations and workflows

- Support and monitor compliance with Regulation S-P

Core Compliance Program

- Conduct testing for compliance with applicable regulations and marketing policies and procedures

- Monitor regulatory marketing-related developments, proposals, and amendments, and assess compliance risk to the firm's activities

- Assess compliance risks related to the firm's marketing activities and communicate effectively with the business, including senior management

- Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications

- Assist with compliance with books and records rules

- Assist with documentation of policies, procedures, and memos

- Conduct compliance monitoring and testing, including annual compliance testing and surveillances

- Manage day-to-day relationships and activities involving compliance-related service providers

- Assist with internal and