RIA Compliance Consultant

True West Consulting is a fast-growing SEC compliance consulting firm built on trust, independence, and doing right by our clients. We believe compliance doesn’t have to be reactive or robotic—it should be practical, educational, and relationship-driven. Our culture is rooted in collaboration, transparency, and our own Code of the West: show up, take ownership, and always put clients first.

We’re building something special—and we’re looking for people who want a seat at the table, not just a job.

We’re looking for an experienced RIA Compliance Consultant who’s excited to build, own, and grow their own book of business under an established and respected brand. You’ll work directly with RIA clients, guide them through the complexities of SEC compliance, and help shape how True West delivers service as we continue to scale.

This role is ideal for someone who:

• Loves client relationships as much as technical compliance
• Wants autonomy and support
• Enjoys improving processes and building smarter systems
• Is energized by growth, ownership, and having a real voice

Be a Trusted Advisor

• Lead proactive, educational compliance meetings with RIA clients
• Serve as the primary compliance partner for your client base
• Help clients understand not just what to do—but why it matters

Own the Compliance Work

• Draft, review, and maintain compliance manuals, policies & procedures, codes of ethics, risk assessments, and compliance calendars
• Conduct annual Rule 206(4)-7 reviews and ongoing risk-based testing
• Support regulatory filings including Form ADV, 13F, U4, and U5
• Represent clients during SEC examinations and help manage responses and remediation

Build the Business

• Develop and grow your own RIA client relationships
• Participate in sales conversations and proposal development with support from firm leadership
• Mentor and help develop compliance associates as the team grows

Help Shape the Firm

• Collaborate with the consulting team on process improvements and best practices
• Provide feedback on compliance technology and tools
• Contribute ideas that improve efficiency, service quality, and client experience

• Bachelor’s degree in business, finance, or a related field (preferred)
• 5+ years of RIA compliance consulting or in-house compliance experience
• Prior experience as an RIA CCO or Compliance Manager
• Strong working knowledge of the Advisers Act, Investment Company Act, and SEC regulations
• Existing industry relationships and business development experience
• Excellent written, verbal, and presentation skills
• High integrity, strong work ethic, and a client-first mindset
• Comfortable working independently in a remote, fast-moving environment
• Tech-savvy; familiarity with platforms like Orion, Redtail, or eMoney is a plus

This is a chance to get in early with a growing consulting firm that shares success with the people who help build it. We prioritize giving our team a voice in decisions, flexibility in how they work, and meaningful upside for contributing to growth.

• Medical, dental, vision, life, and disability insurance
• 15 days of paid time off + 10 paid holidays