SageSpring Wealth Partners is seeking a Compliance Associate to join our compliance team. The Compliance Associate will be responsible for managing the marketing review process, administering ...
SageSpring Wealth Partners
13 Sagespring Wealth Partners Jobs Hiring Near You
SageSpring Wealth Partners is seeking a Compliance Associate to join our compliance team. The Compliance Associate will be responsible for managing the marketing review process, administering ...
Head of Sales
Franklin, TN · Remote
SageSpring Wealth Partners is seeking a senior sales leader to serve as the Advisor Success Manager, a newly created role responsible for accelerating advisor productivity, advancing advisors through ...
Head of Sales
Franklin, TN · Remote
SageSpring Wealth Partners is seeking a senior sales leader to serve as the Advisor Success Manager, a newly created role responsible for accelerating advisor productivity, advancing advisors through ...
Investment Strategist
$117.20K - $151.40K/yr
This role collaborates closely with partners such as the Dynasty Investment Team and SageSpring ... REQUIRED QUALIFICATIONS: * 5+ years of experience in wealth management, investment consulting ...
Investment Strategist
$117.20K - $151.40K/yr
This role collaborates closely with partners such as the Dynasty Investment Team and SageSpring ... REQUIRED QUALIFICATIONS: * 5+ years of experience in wealth management, investment consulting ...
SageSpring Wealth Partners affirms our commitment to make reasonable accommodation for employees with disabilities, unless the accommodation would impose an undue hardship on the operation of our ...
SageSpring Wealth Partners affirms our commitment to make reasonable accommodation for employees with disabilities, unless the accommodation would impose an undue hardship on the operation of our ...
SageSpring Wealth Partners affirms our commitment to make reasonable accommodation for employees with disabilities, unless the accommodation would impose an undue hardship on the operation of our ...
SageSpring Wealth Partners affirms our commitment to make reasonable accommodation for employees with disabilities, unless the accommodation would impose an undue hardship on the operation of our ...
SageSpring Wealth Partners is seeing an eager Financial Advisor Apprentice to learn from our Financial Advisors, gain valuable skills and knowledge, and provide exceptional client care. The Financial ...
SageSpring Wealth Partners is seeing an eager Financial Advisor Apprentice to learn from our Financial Advisors, gain valuable skills and knowledge, and provide exceptional client care. The Financial ...
Director of Marketing
Franklin, TN · On-site +1
Partner with compliance to guide advisors on communication strategy, materials, and client ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Director of Marketing
Franklin, TN · On-site +1
Partner with compliance to guide advisors on communication strategy, materials, and client ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
... company and partners. * High Performance - Our motto, "Humble, Hungry, and Smart," is truly ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
... company and partners. * High Performance - Our motto, "Humble, Hungry, and Smart," is truly ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Schedule and confirm client meetings with Advisors, clients, and other outside partners * Generate ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Schedule and confirm client meetings with Advisors, clients, and other outside partners * Generate ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Schedule and coordinate client meetings with Advisor(s), clients, and other outside partners ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Schedule and coordinate client meetings with Advisor(s), clients, and other outside partners ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Schedule and confirm client meetings with Advisors, clients, and other outside partners * Schedule ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
Schedule and confirm client meetings with Advisors, clients, and other outside partners * Schedule ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
SageSpring Wealth Partners affirms our commitment to make reasonable accommodation for employees with disabilities, unless the accommodation would impose an undue hardship on the operation of our ...
SageSpring Wealth Partners affirms our commitment to make reasonable accommodation for employees with disabilities, unless the accommodation would impose an undue hardship on the operation of our ...
... partners in a timely and efficient manner. * Assisting with ad-hoc projects * Seek cross-training ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
... partners in a timely and efficient manner. * Assisting with ad-hoc projects * Seek cross-training ... SageSpring Wealth affirms our commitment to make reasonable accommodations for employees with ...
SageSpring Wealth Partners Jobs Information
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Full-time
Posted 18 days ago
Job description
Job Summary:
SageSpring Wealth Partners is seeking a Compliance Associate to join our compliance team. The Compliance Associate will be responsible for managing the marketing review process, administering compliance tests to confirm adherence to policies and procedures, and handling tasks associated with vendor management as well as certain areas within the firm’s compliance monitoring software. The ideal individual will have the ability to exercise good judgement in a variety of situations, with strong written and verbal communication, time management, and organizational skills, and the ability to maintain balance among multiple priorities.
Job Duties amp; Responsibilities:
- Help manage marketing review and approval process for compliance with SEC Marketing Rule
- Perform tests in multiple areas of the firm to ensure that the Compliance Manual accurately reflects real practice and recommend changes where appropriate
- Assist in personal trade monitoring as well as maintain certain compliance attestations and certifications within the firm’s compliance monitoring software
- Assist with onboarding and offboarding investment adviser representatives
- Conduct regulatory research and assist in drafting internal guidance on training materials
- Help maintain required books and records
- Remain current on relevant regulatory changes and industry best practices to identify and mitigate potential compliance risks
- Contribute to the annual compliance review, Form ADV updates, and ongoing RIA compliance obligations
- Assist CCO with various ad hoc tasks as needed
Required Qualifications:
- Bachelor’s degree or an equivalent combination of experience, education, and training
- Intermediate Microsoft Office and Excel skills
- Strong work ethic and a quick learner
- Detail-oriented, proactive, and able to thrive in a fast-paced, growing firm
- Ability to multi-task while maintaining accuracy
- Able to work independently, as well as collaboratively with others.
- Able to work on-site in Franklin, TN
Preferred Qualifications:
- 2+ years of experience in compliance, legal, or regulatory role at an SEC-registered RIA (or similar financial services firm)
- Working knowledge of the Investment Advisers Act of 1940 and related SEC regulations as well as fiduciary standards
- Familiarity with compliance software platforms such as Compliance Alpha, SmartRIA, or similar