Compliance Specialist

OUR FIRM

Brightworth is a nationally recognized, fee-only registered investment advisory (RIA) firm with offices in Atlanta, GA and Charlotte, NC. The wealth advisors at Brightworth have deep expertise across the financial disciplines, allowing us to provide ongoing, comprehensive financial advice to families across the country.

This position is located in the Atlanta office.

KEY RESPONSIBILITIES

This role will work directly with the firm’s Chief Compliance Officer in helping to maintain a strong culture of compliance at Brightworth. The Compliance Specialist will assist the CCO with implementing, training and monitoring the firm’s compliance policies and procedures to ensure that the firm and its Partners/Staff comply with all applicable rules and regulations of the RIA.

  • Prepare and submit regulatory filings
  • Effectively communicate policies and procedures and assist in firm compliance training
  • Manage the firm’s compliance checklists
  • Review firm advertising/marketing materials to ensure compliance with SEC advertising rules
  • Review the firm’s e-mail and social media activity
  • Stay abreast of SEC rules and regulations and current compliance issues facing our industry and bringing issues to the CCO’s attention as well as affected department heads.
  • Attend compliance related training on an ongoing basis to stay up-to-date on best practices and issues facing our industry
  • Participate in various compliance projects at the firm

QUALIFICATIONS

Minimum Qualifications:

  • Bachelor’s Degree in business related field
  • 3+ years’ experience in the financial services industry; RIA experience preferred
  • Strong written and verbal communication skills
  • Highly organized and detail oriented with strong follow-through
  • Proficient in Microsoft Office applications and comfortable learning other software programs
  • Ability to work in a fast-paced environment and prioritize, with minimal direction

Desired Competencies:

  • Prior experience in an RIA compliance role preferred
  • Familiarity with the Investment Advisors Act of 1940
  • Experience with Schwab Compliance Technologies or other compliance software
  • Prior advertising/marketing material review experience
  • Enjoys researching rules and regulations, as well as problem solving
  • A positive attitude and strong work ethic
  • Ability to work both individually as well as within a team and across departments and offices
  • Curiosity and a desire to continue learning and developing

This position may include some travel to our Charlotte office.

For additional information about our firm, visit www.brightworth.com. Please email your resume and cover letter to careers@brightworth.com. No phone calls, please.

v10.17.2019