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- Link: RIA Compliance Professional from Interactive Brokers
- Dates: All year 2019.
- Job location: Washington D.C., USA.
- Job description: Respond to registration and compliance questions from investment advisors. Work with advisors to prepare SEC and state registration filings, to draft their compliance manuals, codes of ethics, and other written policies and procedures. Interact with the SEC, state regulatory agencies and regulatory bodies to get investment advisors registered. Draft written materials for use by advisors to meet their compliance obligations and/or respond to regulatory inquiries. Draft web content and periodic releases on compliance issues of interest to investment advisors. Draft research memos and/or white papers on regulatory topics. Research registration and compliance questions from current and potential investment advisors and the business.
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