Investment Advisor

SEC-registered investment advisor in southwestern Connecticut seeking half time (to start) individual for the following needs:

• Compliance recordkeeping and basic surveillance (the firm uses an external firm for policy generation and assistance with filings etc.) An understanding of the compliance function is needed but not necessary to have compliance expertise;

• Liaison for firm technology needs (the firm has a technologist supporting the basic setup). In this role you would help to identify needed technology improvements and ensure that records are being kept in a secure fashion and in accordance with cyber security protocols. Become familiar with firm tools (Addepar, Wealthscape, RedTail) and serve as liaison for customizing reporting and querying from same.

• Assistance with documenting client meetings. As needed, provide recordkeeping of client meetings and/or calls. Ensure that all client contacts are documented and meet SEC requirements.

• Other needs as they arise. The firm has few employees and flexibility is critical to success in the role.

• Opportunity to learn and grow own advisory business. With front row access to client meetings and internal investing reviews, individual will learn much of the personal advisory business. Firm will entertain desire to grow personal book of business for qualified candidates.

• This role can lead to full time if mutually desirable.