Job Description
Role & responsibilities
Act as a SME on US RIA regulations, compliance, & operational workflows
Work closely with product and engineering teams to translate regulatory requirements into product features
Help design & validate compliance workflows (SEC, FINRA-related processes, etc.)
Engage with US-based RIAs to understand their needs, pain points, and feedback
Contribute to building compliance-first product capabilities and frameworks
Assist in setting up internal knowledge around RIA operations and best practices
Preferred candidate profile
Experience working with or closely supporting US Registered Investment Advisors (RIAs)
Background in wealth management, compliance, or advisory operations
Prior experience at firms like JP Morgan, Morgan Stanley, or similar institutions is a strong plus
Strong understanding of SEC regulations, compliance processes, and day-to-day RIA functioning
Ability to bridge domain knowledge with product thinking
Excellent communication skills and comfort interacting with US clients