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Location: Remote | Full-Time
Company: Integrated Compliance Advisors (ICA)
About Us
Integrated Compliance Advisors is a premier consulting firm specializing in SEC-registered investment advisers. We offer high-touch, customized compliance support for RIAs across the country. With a team grounded in integrity, industry expertise, and a commitment to personalized service, we help our clients navigate regulatory complexity with confidence.
Position Overview
We are seeking a highly motivated and detail-oriented Mid-Level Compliance Consultant who is looking to grow into a leadership role. This position is designed as a structured two-phase opportunity: the first year will be spent in a support capacity, assisting our senior consultants with regulatory testing, documentation, and ongoing compliance tasks. After demonstrating competency and gaining hands-on experience, the consultant will transition into a lead role with their own client responsibilities.
Year One – Support Consultant
In this phase, you will work closely with our senior consultants to develop a deep understanding of our processes, client expectations, and regulatory requirements. Responsibilities include:
- Assisting with the execution of annual compliance program reviews
- Performing mock SEC exams and forensic testing procedures
- Drafting compliance documentation and client communications
- Tracking regulatory deadlines and supporting filings
- Conducting research and monitoring regulatory developments
Year Two and Beyond – Lead Consultant
Upon successful completion of the first year, you will begin managing your own book of RIA clients. In this lead role, you will:
- Serve as the primary compliance advisor for assigned RIA clients
- Lead forensic testing, ongoing reviews, and customized compliance initiatives
- Provide strategic compliance guidance and respond to regulatory inquiries
- Build strong, trusted relationships with clients as their go-to resource
Qualifications
- 3–5 years of experience in an SEC RIA compliance or regulatory consulting role
- Strong familiarity with the Investment Advisers Act of 1940
- Exceptional attention to detail, organization, and communication skills
- Proficiency in Microsoft Office and common RIA compliance technology platforms
- Self-directed, proactive, and capable of managing multiple deadlines
Preferred Qualifications
- Experience conducting compliance testing or mock exams
- Previous client-facing consulting experience
- Familiarity with RIA software such as Advyzon, Orion, Black Diamond, Greenboard, Schwab Advisor Center, Fidelity Institutional, Client Works and/or similar tools
Why Join ICA?
- Collaborative and supportive remote work culture
- Clear growth path with mentorship and leadership development
- Meaningful work that makes a direct impact on our clients’ businesses
- Competitive salary, benefits, and professional development support
How to Apply
Submit your resume and a brief cover letter outlining your compliance experience and interest in this role to info@integrated-compliance.com.
About Integrated Compliance Advisors
Integrated Compliance Advisors is a boutique regulatory consulting firm dedicated exclusively to serving SEC-registered investment advisers. We provide personalized, high-touch compliance support designed to help RIAs meet their regulatory obligations with confidence and clarity. Our approach is rooted in collaboration, deep industry knowledge, and a genuine commitment to becoming an extension of our clients’ teams.
With a reputation for integrity, responsiveness, and thoughtful guidance, we work with firms of all sizes - ranging from emerging advisers to established multi-billion-dollar practices - offering services including mock SEC exams, annual reviews, customized policies and procedures, and on-demand consulting support. Our goal is to simplify compliance, reduce risk, and empower advisers to focus on what they do best: serving their clients.