The Mather Group Compliance Analyst - Remote

The Mather Group (TMG) operates as a fee-only, $1 Billion AUM, wealth management firm, specializing in retirement planning for corporate executives and high net worth individuals. The firm was founded in 2001 and became an independent Registered Investment Advisor (RIA) in 2011. TMG was named by Financial Planning Magazine as one of the fastest growing RIAs in the country and was named one of Financial Times top 300 firms in the nation. As they continue to expand their national footprint with offices in multiple states, they seek a Senior Wealth Advisor. As the main point of contact, will actively communicate with clients on a daily basis, providing advice on cash flows/tax planning strategies, estate/insurance issues, identify investment goals/retirement planning needs and implement recommendations with assistance of support staff. In addition, this position will meet with referrals in their territory and effectively close sales with the support of a leading financial planning team. 

ABOUT THE MATHER GROUP, LLC

The Mather Group, LLC (TMG) is one of the fastest-growing independent, fee-only registered investment advisory firms in the country, offering comprehensive financial planning services with our clients’ best interests in mind.

TMG is a federally Registered Investment Adviser (RIA) with a fiduciary duty to our clients. That means we are obligated to always act in their best interest. When clients choose TMG, we work to mitigate any potential conflicts of interest regarding how their money is managed and where their money is held. Our financial professionals do not hold brokerage licenses, are not compensated by selling products, and do not earn commissions—we do not incentivize ourselves at our clients’ expense. We aim to minimize cost wherever possible and to provide complete transparency about our fees, which are outlined in our firm’s public disclosure documents.

What we are doing differently is educating investors on what the fiduciary responsibility really means, at a time when it is more important than ever.

WE'VE MADE COMPELLING PROGRESS

  • $6.9 Billion in assets under management
  • Eight offices in established markets: Chicago (headquarters), Atlanta, Austin, Dallas, Houston, Knoxville, Philadelphia Area, and San Francisco Bay Area
  • 120 staff members and growing
  • Named among Barron's Top 100 RIA Firms (2018, 2019, 2020, 2021)
  • Named among Financial Planning Top 150 Fee-only RIAs (2018, 2019, 2020, 2021)
  • Named among Financial Times 300 Top RIAs (2016, 2017, 2018, 2019, 2020)

Data above as of September 30, 2021. Rankings are based on voluntary, non-fee-paying surveys. Each organization establishes its own criteria for inclusion. Each organization establishes its own criteria for inclusion. Please visit our website at www.themathergroup.com for additional information regarding TMG’s awards and recognition.

about THE POSITION

The Compliance Analyst assists the Chief Compliance Officer (CCO) with the surveillance and oversight of a dynamic SEC-registered investment advisory firm. This is a fast-paced environment; the ideal candidate will be able to prioritize, work on, and complete multiple tasks within a deadline. This position reports to the Chief Compliance Officer (CCO).

Responsibilities:

These responsibilities are for Compliance of a Registered Investment Adviser.

  • Perform testing and reviews of compliance policies and procedures, analyze the data to identify risks, and develop and recommend corrective action for gap closure.
  • Execute registered investment adviser regulatory compliance monitoring programs.
  • Contribute to the execution and monitoring of the compliance risk assessments for the compliance programs.
  • Participate in the process of keeping the firm’s SEC registration documents (Form ADV) up to date.
  • Assist in managing all other regulatory filings.
  • Perform ongoing monitoring as required by the compliance programs (i.e., Code of Ethics, marketing materials, etc.).
  • Actively promote a solution-oriented environment throughout the compliance department.
  • Perform compliance training for all associates.

CANDIDATE REQUIREMENTS

The ideal candidate will possess the following qualifications and attributes:

  • Education: Bachelor's degree or equivalent work experience required.
  • 2-3 years of work experience with a registered investment adviser.
  • Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Microsoft Office Suite) without assistance and with minimal supervision. Knowledge of compliance reporting systems a plus.
  • Experience in compliance or auditing with a registered investment adviser or equivalent experience at a financial institution desired.
  • Ability to be proactive and follow up to resolve issues.
  • Demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
  • Ability to work independently and meet deadlines.
  • Excellent verbal and written communication skills.
  • Ability to effectively interact and communicate with all levels of staff. This role interacts with entire firm.
  • Ability to maintain professional composure in a dynamic work environment that often requires the management of multiple and competing priorities.
  • Willingness to be a contributing and engaged member of team by sharing knowledge, working towards common goals, and maintaining a positive attitude.

TMG is an equal opportunity employer and welcomes candidates from diverse backgrounds.

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The Mather Group

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