Senior RIA Compliance Associate

Fruitful

Senior RIA Compliance Associate at Fruitful focusing on regulatory compliance in financial guidance. Collaborating with teams to improve compliance processes and support member engagement.

Posted 7/17/2026full-timeRemote • 🇺🇸 United StatesSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance program development, regulatory requirements, and risk management within the financial services sector. Proficient in compliance testing, monitoring, and providing training to ensure adherence to industry standards and best practices.

Highest-signal resume keywords

Compliance Program DevelopmentRegulatory Requirements InterpretationCompliance Management ProgramsRisk Assessment MethodologiesBSA/AML Compliance

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceCompliance TestingPolicy DevelopmentRisk ManagementInvestment Advisers ActSecurities ActUDAAPGLBAInfoSecurity FrameworksCompliance Controls

Soft Skills

Analytical SkillsProblem SolvingCommunication SkillsCreative ThinkingCollaboration

Tools & Technologies

Compliance Management ToolsAI SolutionsProcess Optimization Tools

Industry Keywords

RIAConsumer Financial ServicesFintechRegulatory FilingsMember Experience

About the role

Key responsibilities & impact

Assist the Head of Compliance in the development and enhancement of the Compliance Program including maintaining policies and procedures and responding to regulatory complaints
Review marketing collateral, product copy, and other consumer facing communications for adherence to regulatory requirements, company standards and industry best practices
Provide compliance support to the Guidance Team in addressing member concerns, collaborating with relevant Fruitful teams
Provide guidance and ongoing support on managing compliance risks and applying compliance requirements to Fruitful products and services
Perform compliance testing and monitoring of compliance requirements and associated controls (e.g. investment adviser code of ethics, UDAAP, GLBA, BSA/AML)
Support regulatory filings like the ADV, exams, and information requests
Provide training and maintain registrations for the Guidance Team

Requirements

What you’ll need

2+ years of experience in a compliance role, preferably within an RIA or consumer financial services sector. Fintech experience is a big plus
Strong knowledge of and experience researching, interpreting, and applying key regulatory requirements, laws, and industry best practices (including but not limited to SEC, Investment Advisers Act, Securities Act, UDAAP, GLBA, BSA/AML, InfoSecurity Frameworks)
Experience in supporting Compliance Management Programs, Issue Management, Risk Assessment Methodologies, and Compliance Controls
Creative perspective for finding solutions that ensure the best experience for our Members
Independent problem solver that actively identifies areas of opportunity and/or need
Technology-forward with a continuous improvement mindset, leveraging new tools to optimize processes and solve operational challenges.
Excellent analytical, verbal and written communication skills
Desire to join a fast-moving, early-stage, mission-driven company
Default to building with AI.

Benefits

Comp & perks

Competitive compensation package including salary and equity
Self-directed flexible time-off
Ability to work from where best for you (remote or in our offices in NYC or DC)
Work-from-home setup stipend
401(k) program with company match
Comprehensive health benefits package with a substantial employer subsidy