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 registered under the Investment Advisers Act of 1940 as a Registered Investment Adviser (RIA) with the Securities and Exchange Commission (SEC). This means we have a fiduciary duty to always act in our clients' best interests. 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 provide complete transparency about our fees, which are outlined in our firm’s public disclosure documents.

We educate investors on what the fiduciary responsibility really means at a time when it is more important than ever.

WE'VE MADE COMPELLING PROGRESS

  • $7.5 billion in assets under management
  • 12 offices in established markets: Chicago (headquarters), Atlanta, Austin, Dallas, Houston, Knoxville, Morristown NJ, Nashville Area, San Francisco Bay Area, Seattle Area, Spring TX, and Washington DC Area
  • 145+ staff members and growing
  • Named among Crain's Chicago Business Fast 50 (2021, 2022)
  • 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 Pensions & Investments Best Places to Work in Money Management (2021)

Data above as of June 30, 2022. Rankings are based on voluntary, non-fee-paying surveys. 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 (Registered under the Investment Advisers Act of 1940). This is a fast-paced environment; the ideal candidate will be able to prioritize and execute multiple tasks within a deadline. This position reports to the Chief Compliance Officer (CCO).

Responsibilities:

  • 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 (40 Act) 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, including U4, U5, and Form ADV
  • Perform ongoing monitoring as required by the compliance programs, including Code of Ethics and marketing materials
  • Act in partnership and interact with all levels in the organization to promote a solution-oriented compliance environment
  • Perform compliance training for all associates both remotely and in person
  • Monitor and report on Code of Ethics utilizing automated compliance system

CANDIDATE REQUIREMENTS

The ideal candidate will possess the following qualifications and attributes:

  • Bachelor's degree; 5 to 8 years of work experience required
  • Excellent technical proficiency with software applications and Microsoft Office
  • Demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions
  • Self-starter, ability to work independently and meet tight deadlines
  • Excellent presentation, verbal, and written communication skills
  • Strong organization skills and attention to detail
  • Ability to maintain professional composure in a dynamic work environment with multiple and competing priorities
  • Strong team orientation, knowledge sharing, and working towards common goals with 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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