Get a 1-on-1 Fruitful Guide to build and automate your personal money system - income, bills, spending, saving, investing - so progress sticks without the stress. Backed by Lux.
About the role
We are seeking a nimble Senior RIA Compliance Associate in investment advisory / financial guidance. Your broad understanding of the financial regulatory landscape will support our development of innovative, best-in-class financial products and services for Fruitful Members. You will collaborate across teams to provide actionable regulatory compliance guidance and enhance our processes, training, and assessments.
What they're looking for
- 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
More about this role
Fruitful is the financial membership that transforms every paycheck into progress—guided by experts and powered by AI automation. Through our proprietary Money Map, Fruitful converts financial advice into a personalized money system that automates someone's entire financial life with a single click—closing the long-standing execution gap in financial planning. Members partner with a dedicated CERTIFIED FINANCIAL PLANNER® who designs and oversees their Money Map, allocating income across bills, spending, savings, and investments, putting their money on autopilot to drive measurable progress.Fruitful has the opportunity to be more affordable, accessible, and comprehensive than anyone in the industry, and it starts with a world-class product… Ready to help us build it?
We are seeking a nimble Senior RIA Compliance Associate in investment advisory / financial guidance. Your broad understanding of the financial regulatory landscape will support our development of innovative, best-in-class financial products and services for Fruitful Members. You will collaborate across teams to provide actionable regulatory compliance guidance and enhance our processes, training, and assessments.
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