Careers at Wiser Wealth Management

About The Role

We are seeking a detail-oriented, proactive Compliance Associate to support Wiser Wealth Management’s compliance operations. This part-time, remote role will help maintain and enhance our compliance infrastructure with SEC & FINRA regulatory framework applicable to Registered Investment Advisers (RIAs). This position will ensure we continue to operate in alignment with our fiduciary duties and provide the highest level of regulatory oversight for our clients.

What You Will Do

• Assist the VP of Operations in implementing, maintaining and updating the firm’s Compliance Policies & Procedures manual to reflect RIA/SEC obligations.
• Perform periodic testing, monitoring and review of key compliance areas, including but not limited to personal trading/Code of Ethics, custody, advertising & marketing, privacy/security controls, portfolio management/trading oversight, and record keeping.
• Support preparation and update of regulatory filings and disclosures (e.g., Form ADV Part 1, 2A & 2B, and C, and any other SEC/State filings).
• Review client communications, marketing materials, website content, social media posts, and advisor bios to ensure compliance with SEC advertising rules and firm standards.
• Maintain compliance logs and records: gifts/entertainment logs, employee personal securities transactions, Code of Ethics certifications, training attestations, breach investigations.
• Monitor and track employee training and attestations, assist in developing annual training content.
• Serve as a support resource for preparation of SEC examinations, mock audits, and internal compliance reviews.
• Stay current on rule changes, regulatory guidance and industry best practices relevant to RIAs and the SEC; assist with advising the CCO on updates.
• Provide general administrative support to the compliance function: scheduling, data-gathering, file management, document control, and ad-hoc projects.

What You Will Bring

• Bachelor’s degree in Finance, Business, Law or related field.
• At least 3 years experience in compliance operations at an SEC-registered investment adviser or similar financial services environment preferred.
• Solid understanding of the Investment Advisers Act of 1940, SEC rules for RIAs, Form ADV filings, and general fiduciary duties.
• Strong analytical, organizational and project-management skills with meticulous attention to detail.
• Ability to work independently in a remote environment, manage multiple tasks and meet deadlines.
• Excellent written and verbal communication skills; able to clearly translate regulatory requirements into practical implementation.
• Proficiency with Microsoft Office, Google Workspace and Mac OS; familiarity with compliance software/tools (e.g., SmartRIA, RIA in a Box, Orion Compliance) is a plus.
• High degree of integrity, discretion and professional judgement aligned with Wiser’s core values (trustworthy, service-minded, empathetic, professional, accountable).

What We Offer

• Competitive Compensation
• 401(k) with a Company Match
• Opportunities for professional growth and development
• Join a fee-only, fiduciary firm committed to putting clients first and serving with integrity.
• Be part of a thoughtful, mission-driven team focused on delivering excellence in financial planning and wealth management.
• Work remotely with flexibility while contributing meaningfully to key regulatory/compliance functions in a rapidly growing firm.
• Opportunity to work in an environment of continuous improvement, where compliance isn’t just a checkbox but a genuine business component that supports client trust and firm culture.

How to Apply

If you’re passionate about compliance, thrive in remote settings, and want to support a fiduciary-first advisory firm dedicated to client success, we’d love to hear from you. Please submit your resume and a cover letter outlining your relevant experience and why this role at Wiser Wealth Management excites you.

https://wiserinvestor.com/job_openings/compliance-associate-part-time/

Please Note: Only resumes submitted through our website will be considered for this position.