Lead Consultant RIA Compliance

A unique opportunity to build, lead, and grow your own client portfolio within a high-growth, flexible consulting firm.The True West DifferenceAt True West, we have intentionally built something different. Our culture is rooted in flexibility, trust, and the belief that great work should support a full life, not compete with it. Our team has the autonomy to manage their schedules, be present for what matters outside of work, and operate without the constraints of a traditional office.We are a high-growth, boutique firm where your voice matters. You will work directly with approachable, down-to-earth leaders who value ideas, celebrate wins, and invest in their people. This is an environment for builders, those who enjoy variety, solving complex problems, and contributing beyond a narrow role. Our consultants are trusted advisors, not task executors, bringing creativity and judgment to each client relationship.Grounded in the “Code of the West,” we hold a high bar for integrity, quality, and client service. Our clients value the personalized, thoughtful approach we bring, and that trust is reflected in long-term relationships. We offer a different kind of value exchange, pairing competitive compensation with meaningful flexibility, autonomy, and the opportunity to grow alongside the firm.Job SummarySEC compliance consulting firm seeking and experienced RIA compliance consultant to run their own book of business. Support for business processes, tools, and strategic marking under an established brand will be provided. This role is best suited for someone who enjoys building processes and efficiencies, contributing ideas and solutions, and prioritizing strong client relationships. Ideal candidates bring 5+ years of experience in SEC compliance consulting and are excited to take ownership of client relationships and outcomes while operating within a collaborative and structured team environment.Role and ResponsibilitiesClient Service Leadership - Lead regularly scheduled consulting meetings and deliverables with RIA clients under a proactive, educational consulting modelPrepare, leverage, review written policies and procedures, risk assessments, compliance manuals, codes of ethics, compliance calendarsPerform annual 206(4)-7 reviews examining adviser's policies, procedures, and documentationConduct forensic testing and ongoing compliance monitoring based on risk assessmentsAssist with regulatory filings such as Form ADV, 13F, U4, U5Represent clients in SEC examinations and enforcement actions; develop action plans and responsesClient Growth Leader - Build and grow a RIA client portfolio, own client relationships, drive firm growth, and mentor the consulting teamLead sales efforts and proposals on potential client leads with support of firm ownersTeam Collaboration and Leadership - Partner with the consulting team on process improvements and client-related mattersContinuous Improvement - Develop best practices to improve service quality and productivityTechnology Input - Provide input and feedback on technology solutions for RIA compliance and software developmentProfessional Presence & Mindset - Thrive in a fast-paced, collaborative environment and align with the firm’s client service philosophy and the ‘Code of the West’Qualifications and Education RequirementsBachelor's degree in business, finance, or related field preferred but not required5+ years of experience in RIA compliance consulting or a related in-house compliance rolePrior experience as RIA CCO or Compliance ManagerDeep expertise in Advisers Act, Investment Company Act, SEC regulationsCompliance certifications like IACCP or CCEP preferredExcellent written/verbal communication and presentation skillsExisting network and business development experience a plusStrong interpersonal skills and ability to collaborate with colleagues, clients, and a teamFlexibility to work independently and in a team environmentDedication to ethics, integrity, and client serviceOutstanding presence and professionalism across virtual meetings (Teams/Zoom), phone, and email communicationAble to manage multiple projects simultaneouslyMicrosoft Office proficiencyDetail-orientedKnowledge of financial service technology (e.g. Orion, Redtail, eMoney) a plusOther NotesThe Lead Consultant RIA Compliance will report directly to the two firm owners of True West. This is a unique opportunity to join a growing firm early and play a meaningful role in shaping its future. You will have the ability to influence how we build, operate, and serve our clients. We are intentional about creating an environment where your voice matters, your contributions are visible, and your growth is actively supported. Benefits include employee insurance including medical, dental and vision, life and disability insurance, 15 days of paid time off and 10 paid holidays and a flexible remote work location.erbal and written communication skills.