# Senior RIA Compliance Associate at Fruitful

- Company: Fruitful
- What the company does: 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.
- Company website: https://fruitful.com
- Type: Startups
- Level: Senior
- Location: Remote, USA
- Work setup: Remote
- Posted: 2025-05-06
- Apply by: 2026-10-08
- Apply: https://job-boards.greenhouse.io/fruitful/jobs/5467316004
- Page: https://www.1752.vc/careers/jobs/fruitful-senior-ria-compliance-associate/

## 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

Tags: Compliance