Business Operations & Compliance Specialist

Business Operations & Compliance Specialist

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RMR Wealth Builders, Inc. is hiring a Business Operations & Compliance Specialist to support both the Accounting and Compliance Departments. In this role, you will assist with daily operational processes such as invoice management, recordkeeping, and financial reporting. Responsibilities also include helping to prepare compliance documentation, monitoring for adherence to regulatory requirements, and maintaining organized files for audits. This position works closely with team members across both departments to ensure that financial and regulatory standards are consistently met.

We are seeking someone who is organized, attentive to detail, and comfortable handling information across multiple business functions.

• Bachelor’s degree in Accounting (or related field such as Finance or Business with strong accounting coursework).
• No professional experience required; on-the-job training provided for accounting and compliance processes in the RIA environment.

• Strong proficiency in Microsoft Office Suite, especially Excel and Word.
• Familiarity with accounting software and financial reporting tools, as well as general ledger reconciliation and auditing processes.
• Eager to learn about RIA compliance, SEC rules (including the Investment Advisers Act of 1940), and related systems, with the expectation of pursuing industry credentials and/or certifications.
• Detail‑oriented, with strong organizational and analytical skills.
• Excellent written and verbal communication skills for teamwork and regulatory interaction.
• Ability to multitask, prioritize, and work independently, especially in fast‑paced or deadline‑driven environments.
• Knowledge of risk management, process improvement, and compliance documentation preparation.
• Strong collaboration skills to work effectively across departments.
• Ethical, responsible, and maintain strict confidentiality.
• Independent thinker, proactive, and adept at problem solving.

• Accounting Support
• Process accounts payable and receivable:
  Handle invoice management, bill payments, collections, and reconciliation of accounts.
• Assist with recordkeeping and financial reporting:
  Help maintain accurate and organized financial records, prepare reports, and support periodic audits.
• Bookkeeping:
  Enter transactions into accounting software, verify financial data, and support payroll and tax receipt issuance.
• File management:
  Ensure confidential and compliant storage of financial documents and records.
• Provide documentation for audits:
  Supply necessary financial records and support internal or external audit processes.
• Compliance Support
• Prepare, review, and maintain compliance documentation:
  Ensure timely and accurate creation, updating, and filing of regulatory forms, such as Form ADV and other SEC filings.
• Monitor adherence to policies and regulatory requirements:
  Oversee daily compliance tasks, track ongoing compliance obligations, conduct quality control reviews, and address non‑compliance issues.
• Assist in regulatory submissions:
  Support the preparation and delivery of required filings and updates to regulatory agencies.
• Support compliance testing and audits:
  Participate in compliance checks and the annual review process. Document findings and follow up on corrective actions.
• Operational Tasks
• Collaborate across departments:
  Work closely with accounting, compliance, and other business teams to optimize processes and implement necessary controls.
• Participate in risk assessments:
  Identify and help mitigate risks by recommending improvements to procedures, controls, and documentation.
• Legal and Regulatory Process
• Support development and updates of compliance policies:
  Help create, review, and update internal policies and procedures in line with regulatory changes.
• General Duties
• Respond to requests for documentation:
  Gather information for regulatory inquiries, subpoenas, or other official requests.
• Stay current with industry changes:
  Keep updated on applicable regulations and best practices to maintain compliance.
• Support internal projects:
  Help implement operational improvements, efficiency projects, or new compliance technologies as needed.
• Benefits:
  Personal Performance Bonuses and Company Performance Bonuses; 401(k) and HSA with employer match;
  Two weeks of paid vacation;
  Access to Health, Dental, Vision, Disability, and Life Insurance.

Entry level

Full‑time

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