Compliance Specialist

Gladstone Wealth Partners

Bedminster, NJ, United States
Onsite
Daily monitoring and queue management
Email and inquiry management
Compliance operations support
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.
  • Primary responsibilities include daily monitoring of supervisory and compliance queues, managing workflow, and assisting with regulatory filings and record-keeping.
  • 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.

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
  • Detail-oriented and accurate

Nice-to-have

  • Eager to grow in compliance
  • Investigative and detail-oriented work
  • Collaborative team player

Key Requirements

  • RIA compliance experience preferred
  • Familiarity with Investment Advisers Act of 1940
  • Ability to manage multiple tasks
  • High level of integrity and professionalism

Work Rights

Not specified

Tailored Resume

Cover Letter