RIA Legal & Compliance Specialist

Role Overview:Our client is a privately owned, independent SEC RIA (Registered Investment Advisory) firm serving ultra high net worth families and individuals, foundations, and institutions This company is seeking a highly analytical, detail oriented compliance professional to join its Legal & Compliance function. The role will focus primarily on day to day compliance operations for an SEC registered investment adviser, with meaningful exposure to legal work over time. The Associate will work closely with the Chief Legal Officer / Chief Compliance Officer, internal stakeholders, trading teams, and external compliance consultants. This position is ideal for someone who wants to move beyond repetitive or siloed compliance work and gain broad, hands on exposure to the full scope of compliance and legal operations within a growing advisory firm. This role offers significant long term growth potential, including the opportunity to take on increased responsibility and, over time, step into a senior compliance leadership role as the firm continues to scale. Location & Work Model This role is based in Carmel, IN Some hybrid flexibility may be considered for exceptional candidates Candidates based in Chicago may be considered as a secondary option, provided they can travel regularly to Indianapolis, especially during the initial onboarding period    Key Responsibilities:Compliance Operations (Primary Focus) Review and approve marketing, client facing, and investor materials in accordance with SEC advertising rules Coordinate with the trading team and external compliance consultants to monitor ownership thresholds and prepare regulatory filings, including Schedule 13G, Schedule 13F, and Schedule 13H Assist in the preparation, maintenance, and updating of Form ADV (Parts 1, 2A, and 2B), including quarterly and annual updates Support compliance related employee onboarding, including documentation, acknowledgements, and system access Manage Investment Adviser Representative (IAR) registrations and ongoing requirements, including U-4 and U-5 filings, FINRA licensing exam registrations and tracking, and Continuing education tracking Coordinate firmwide compliance training and track completion Maintain, update, and organize compliance policies, procedures, and internal documentation Schedule, prepare for, and participate in recurring meetings with external compliance consultants; track action items and follow ups Participate in monthly cybersecurity and information security meetings and assist with related compliance initiatives Respond to restricted list inquiries and assist with monitoring and escalation as needed Review trade errors and assist with documentation and remediation Track compliance projects, deadlines, and regulatory calendars to ensure timely completion Legal & Regulatory Support : Review, track, and archive nondisclosure agreements (NDAs) Assist with the review of routine and low complexity contracts for Service providers, Counterparties, Consultants, and New employees Track and manage vendor and service provider documentation Coordinate periodic AML refreshes for counterparties and service providers Review updated client wealth management agreements and ensure proper documentation and retention Provide project tracking and administrative support for legal initiatives Qualifications:Experience & Background Bachelor’s degree in finance, business, legal studies, or a related field; JD is a plus but not required 5+ years of experience in compliance, legal operations, or a regulated financial services environment Strong preference for experience within an SEC registered investment adviser, investment management firm, hedge fund, or private equity environment Experience at a compliance consulting firm and/or prior in house compliance role is highly desirable Exposure to regulatory filings such as Form ADV, 13F/13G, AML, or similar frameworks is a plus Note: Candidates whose experience is limited to traditional banking compliance (without prior SEC registered investment firm exposure) may not be a fit, as the regulatory regime differs significantly. Skills & Attributes Strong organizational skills with the ability to manage recurring deadlines and regulatory calendars High attention to detail and accuracy, particularly with regulatory and contractual documentation Sound judgment and comfort asking questions when appropriate Clear, professional written and verbal communication skills High level of integrity, discretion, and professionalism Comfortable working in a fast growing, entrepreneurial environment where team members wear multiple hats Approachable and collaborative; viewed as a trusted resource rather than an obstacle Self directed and able to operate independently after onboarding Proficiency in Microsoft Office (Word, Excel, Outlook) required Experience with CRM systems or investment management platforms is a plus Ability to learn and work within third party compliance platformsCompensation & Benefits Competitive base salary + Annual performance based bonus opportunity Comprehensive benefits package, including: Employer paid medical, dental, and vision coverage Retirement plan with employer match Health savings account contributions Wellness and lifestyle benefits Charitable giving programs  

Created: 2026-03-11