Job summary
Job post source
This job is directly from Apella Wealth
Job overview
The Compliance Manager at Apella Wealth oversees SEC compliance for the investment advisory firm, ensuring regulatory adherence and supporting the firm's growth.
Responsibilities and impact
The role involves implementing compliance policies, preparing regulatory filings, reviewing marketing materials for SEC compliance, conducting compliance testing, managing the compliance calendar, documenting activities, assisting with audits and training, and monitoring regulatory updates.
Experience and skills
Candidates need a bachelor's degree, 3-5 years of investment advisory compliance experience, knowledge of the Investment Advisers Act of 1940 and SEC rules, with preferred experience in Form ADV and compliance systems, plus strong organizational and communication skills.
Company overview
Apella Wealth is a financial advisory firm specializing in wealth management, financial planning, and investment strategies tailored to individual and business clients. The company generates revenue through advisory fees, typically based on a percentage of assets under management, and by offering personalized financial solutions. Founded in 2014, Apella Wealth is part of Wealth Partners Capital Group and emphasizes evidence-based investing and fiduciary responsibility. Candidates should note its commitment to client-centric service and its focus on long-term financial growth strategies.
How to land this job
Position your resume to highlight your experience with SEC compliance, specifically mentioning your familiarity with the Investment Advisers Act of 1940 and regulatory filings like Form ADV and Form CRS.
Emphasize your skills in maintaining compliance programs, reviewing marketing materials for SEC adherence, and managing compliance calendars, as these are core responsibilities for the role at Apella Wealth.
Apply through multiple platforms including Apella Wealth’s corporate career page, LinkedIn job postings, and other reputable job boards to maximize your application visibility.
Connect with current Compliance team members or related professionals at Apella Wealth on LinkedIn; use ice breakers such as commenting on recent regulatory changes or asking about their experience with the company’s compliance culture.
Optimize your resume for ATS by incorporating keywords from the job description such as 'SEC compliance,' 'Form ADV,' 'compliance testing,' and 'regulatory filings' to ensure it passes initial screenings.
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