This is a remote position. About the Opportunity White Tiger Connections works with leading ... Lead the development and execution of estate planning and tax-compliance services within an RIA or ...
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This is a remote position. About the Opportunity White Tiger Connections works with leading ... Lead the development and execution of estate planning and tax-compliance services within an RIA or ...
Remote Ria Compliance information
What is a Remote RIA Compliance officer?
A Remote RIA (Registered Investment Advisor) Compliance Officer is a professional responsible for ensuring that an investment advisory firm adheres to all applicable regulations and industry standards, while working from a remote location. Their duties typically include monitoring firm activities, developing compliance policies, conducting internal audits, and managing regulatory filings. They also train staff on compliance matters and keep the firm updated on changes in laws or regulations. This role is crucial for maintaining the integrity and legal standing of an RIA firm, helping to prevent regulatory issues and protect clients' interests. Remote RIA Compliance Officers often use specialized software to track compliance activities and communicate with their teams.
What are the key skills and qualifications needed to thrive as a Remote RIA Compliance professional?
To thrive as a Remote RIA Compliance professional, you need a solid understanding of SEC and FINRA regulations, investment advisory compliance, and a background in finance, often supported by a relevant degree or compliance certifications (such as IACCP). Familiarity with compliance management software, electronic filing systems, and regulatory reporting tools is typically required. Attention to detail, strong analytical thinking, and effective communication are crucial soft skills for identifying risks and ensuring adherence to regulatory standards. These skills and qualifications are vital for protecting firms from legal penalties, maintaining regulatory standards, and building client trust in a remote work environment.
What are the most common compliance challenges faced by Remote RIA Compliance professionals, and how can they be managed effectively?
Remote RIA Compliance professionals often encounter challenges such as staying updated on regulatory changes, ensuring secure handling of sensitive data, and maintaining effective communication with dispersed teams. To manage these issues, it is essential to implement robust cybersecurity protocols, participate in ongoing regulatory training, and use collaboration tools that facilitate clear documentation and reporting. Regular virtual meetings and proactive communication can also help address compliance gaps and foster a culture of transparency within the remote team.
What is the difference between Remote Ria Compliance vs Remote Ria Operations?
| Aspect | Remote Ria Compliance | Remote Ria Operations |
|---|---|---|
| Primary Focus | Ensuring regulatory compliance, AML/KYC procedures, and adherence to legal standards | Managing daily business functions, client onboarding, and operational workflows |
| Required Credentials | Certifications in compliance, AML, or financial regulations often preferred | Operational experience, knowledge of payment systems, and client management skills |
| Work Environment | Remote, compliance departments within RIA firms or financial institutions | Remote or office-based, within RIA firms or financial service companies |
Remote Ria Compliance focuses on regulatory adherence and legal standards, while Remote Ria Operations handles daily business functions and client management. Both roles are essential in RIA firms, often working closely but with distinct responsibilities.
What are popular job titles related to Remote Ria Compliance jobs in New Jersey?
For Remote Ria Compliance jobs in New Jersey, the most frequently searched job titles are:
What job categories do people searching Remote Ria Compliance jobs in New Jersey look for?
The top searched job categories for Remote Ria Compliance jobs in New Jersey are:
What cities in New Jersey are hiring for Remote Ria Compliance jobs?
Cities in New Jersey with the most Remote Ria Compliance job openings:
Founding Estate Planning Partner
Carteret, NJ • Remote
White Tiger Connections •
Business Management Consulting • 11 - 50 employees11 - 50 employees
Full-time
Re-posted 25 days ago
Job description
This is a remote position.
About the OpportunityWhite Tiger Connections works with leading Registered Investment Advisors (RIAs) and broker-dealers that are expanding their service offerings into comprehensive estate planning and tax compliance. We are supporting multiple firms across our client network—ranging from approximately $500M to $10B in assets under management—that are seeking to establish or scale an in-house estate planning function.
This is a founding-level opportunity designed for a highly experienced estate planning professional who is ready to build, lead, and own a core advisory vertical within a growing financial services platform. The role includes a conservative base salary, an aggressive performance-based bonus structure, and meaningful equity participation.
As the Founding Estate Planning Partner, you will work closely with firm leadership to design and lead estate planning and tax-compliance services integrated into the firm’s broader wealth management offering. You will serve as the subject-matter expert, relationship lead, and long-term owner of this practice area.
This role is ideal for a senior estate planning professional seeking true partnership, autonomy, and long-term upside within an established financial organization.
Key Responsibilities
Lead the development and execution of estate planning and tax-compliance services within an RIA or broker-dealer platform
Advise high-net-worth and ultra-high-net-worth clients on complex estate planning strategies
Collaborate with wealth advisors, tax professionals, and firm leadership to deliver integrated client solution
Establish best practices, workflows, and compliance standards for estate planning services
Serve as the senior client-facing authority for estate planning engagements
Recruit, mentor, and manage additional estate planning or tax professionals as the practice scales
Drive growth and adoption of estate planning services across the firm’s existing client base
Requirements
Juris Doctor (JD) required
Minimum of 12 years of experience in estate planning, trust and estate law, and related tax matters
Extensive experience advising high-net-worth clients
Strong leadership presence with the ability to build and lead a practice area
Entrepreneurial mindset and readiness to operate as a founding partner
High degree of professionalism, discretion, and client trust
Preferred Credentials: CFP, Series licenses, MBA, CPA, and other relevant professional certifications
Benefits
Compensation & Partnership Structure
The role includes a conservative base salary, a highly performance-driven bonus structure, and meaningful equity participation tied to the growth, adoption, and long-term success of the estate planning practice within the broader platform.
If you are interested in building and leading an estate planning practice within a high-growth financial services platform, please apply and submit your resume.
About White Tiger Connections
Sourced by ZipRecruiter
Industry
Business management consulting
Company size
11 - 50 Employees
Headquarters location
New York, NY, US
Year founded
2019