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RIA Compliance Associate

Chevy Chase, MD · Accounting/Finance
JOB SUMMARY: Alliance Partners LLC, a subsidiary of Forbright Bank, is currently seeking a Compliance Associate to help us mitigate risk. In this role, you will report directly to our Chief Compliance Officer. You will monitor business processes and perform routine audits to identify potential compliance risks. You will also help implement new policies, systems, or controls designed to reduce risk. Since our employees may turn to you regarding advice about regulatory and legal requirements, it is essential that you stay up-to-date with regulatory changes.

DUTIES AND RESPONSIBILITIES:
  • Managing reviews of a variety of marketing materials including social media, email communications, client presentations, and other media;
  • Working directly with the CCO to resolve issues, propose solutions, and help drive strategic business objectives;
  • Developing and applying in-depth knowledge of SEC regulations related to investment advisors and advisory products;
  • Testing and reporting on Alliance Partners’ compliance with various policies;
  • Assisting in the production and completion of the annual CCO report; and
  • Executing on other administrative or professional responsibilities, as needed;

DESIRED QUALIFICATIONS:
  • A bachelor's degree in a related field
  • Knowledge of any relevant regulatory standards or compliance requirements
  • Computer proficiency, particularly in Microsoft Office Suite
  • Attention to detail
  • Critical thinking skills

ADDITIONAL DUTIES:  For Alliance Partners to remain efficient and nimble as a growing organization, team members are expected to exhibit a high level of flexibility regarding any duties that may be situationally assigned outside of this job description.

PERKS/BENEFITS:
💼 Comprehensive health, dental, and vision plans
🌴 4 weeks PTO
💰 401k + company match
🚉 Metro SmartTrip benefits ($50/mo)
💻 WFH flexibility
🚴 Bonuses for purchasing solar panels, electric vehicles, biking to work, etc.
🍎 Paid subscriptions to Veterans Compost, Imperfect Foods and more!


Alliance Partners is committed to cultivating an environment that promotes diversity as a fundamental value. We welcome employees with a range of experiences, backgrounds, and perspectives. Alliance Partners is an Equal Opportunity Employer.
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