The Compliance Specialist plays an essential role in supporting Gladstone’s Registered Investment Advisor (RIA) compliance and supervision framework
Job Summary
The Compliance Specialist plays an essential role in supporting Gladstone’s Registered Investment Advisor (RIA) compliance and supervision framework.
This role is ideal for someone who is detail‑oriented, eager to grow within the compliance field, and interested in learning the regulatory landscape governing RIAs.
Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge.
Matching Summary
The Compliance Specialist plays an essential role in supporting Gladstone’s Registered Investment Advisor (RIA) compliance and supervision framework.
Skills & Requirements
Must-have
Daily monitoring and queue management
Email and inquiry management
Compliance operations support
Microsoft Office proficiency
Ability to work independently
Nice-to-have
Detail-oriented and accuracy focused
Eager to grow in compliance field
Investigative and detail-oriented work enjoyment
Team collaboration skills
Key Requirements
RIA compliance experience preferred
Investment Advisers Act of 1940 familiarity preferred