Deputy Chief Compliance Officer
Marketing Associate

Alpha Architect is a rapidly growing research-intensive asset management firm with a focus on high-conviction value and momentum factor exposures, the mission of educating people to become better investors. We manage Exchange Traded Funds (ETFs) and also produce white-label ETF solutions for other investment companies. We are an SEC-registered investment adviser.

We believe in the team! Our firm is rooted in Marine Corps values and win-win partnerships, and we maintain a strong code of ethics in all matters, internal and external, and an emphasis on doing the right thing.

We are revolutionizing asset management:

Deputy CCO

From $60,000+ a year – Full Time. Promotions / raises based on Investment Advisor and Investment Company Act of 1940 experience.

Job Type

Full-time

Qualifications

  • Bachelor’s (Preferred)
  • Microsoft Office: 2 years (Preferred).
  • Experience with paralegal work, optimally including investment advisor compliance and the Investment Company Act of 1940
  • High adherence to ethical practices

Job Description

We are looking for a legal support professional to assist our Chief Compliance Officer (CCO) to organize and coordinate administration duties and office procedures related to regulatory compliance under the 1940 Act. Your role is to execute legal and compliance tasks which maintain a pleasant work environment and ensure high levels of organizational effectiveness.

Should you choose, you can increase your training and compliance knowledge to support, and eventually, run a complete compliance program. This is a great entry-level position with a clear trajectory towards leadership roles in compliance with a growing investment firm.

Job Responsibilities

  • Assist with board of directors matters, including preparation of meeting materials resolutions, officer’s certificates, and assisting with scheduling and coordination of logistics
  • Prepare director and officer questionnaires, maintain records of director and officer affiliations
  • Perform compliance responsibilities, including maintenance of minute books, compliance manual tasks, ops manual tasks, and other duties.
  • Draft, file, and manage various regulatory documents from prior examples.
  • Draft legal correspondence and other documents
  • Respond to requests for information
  • Maintenance of company contracts
  • Support company projects and initiatives, including as a project manager as needed
  • Assist with ethics and compliance programs and training
  • Assist with filings required by the SEC, IRS, and other regulatory bodies
  • Develop policies and procedures and implement best practices for legal matters affecting the company
  • Full-time management of the company office, including supporting the CEO and VP on all tasks necessary.

Required Experience

  • Bachelor’s degree
  • Paralegal Certificate preferred
  • Minimum 2-3 years of corporate paralegal or legal assistant experience
  • Strong time management and project management skills
  • Ability to take initiative, operate independently, and work cross-functionally
  • Detail-oriented. Able to build and maintain checklists. Document your work.
  • Strong verbal and written communication skills
  • Ability to organize and prioritize work
  • Ability to interact professionally and reliably with senior-level executives within and outside the company, as well as with customers, vendors, and visitors
  • Must have the ability to excel in a fast-paced environment
  • Proficient in Microsoft Office

Job Type

Full-time

Pay

From $60,000 per year. 401k match, health benefits included. Opportunity for bonuses and advancement based on achievement of objectives and personal growth.

Ability to commute/relocate

  • Havertown, PA 19083: Reliably commute or plan to relocate before starting work (Required)
  • Onsite required for the first three months. Thereafter, 3 days in the office, 2 days out.

Equal Opportunity Employer

We are an equal opportunity employer and abide by all rules concerning human civil rights. We welcome all candidates to apply and will provide fair consideration to all including candidates from diverse backgrounds.

Apply Now


Marketing Associate

Job description

Alpha Architect is looking to hire a junior to mid-level marketing help. Responsibilities include:

  • Managing email campaigns – we send out a Friday email summarizing our research articles, and there are other ad-hoc email campaigns as needed
  • Designing PowerPoints, “one pagers”, etc.
  • Organizing our voluminous content production for distribution through our various channels
  • Work with compliance team to ensure that marketing materials produced are compliant with all Investment Company Act of 1940 rules and regulations
  • Other tasks as needed

For a person with minimal experience, we feel this is a fair starting point and there will be plenty of growth opportunities for you.

Want to be on video? A podcast host? A writer? Sales? Speaking at conferences? A quant? We can help you develop these skills.

Proof of work and recommendations from partners/friends of ours is better than a resume. Most of our last hires/partners have come through Twitter. Feel free to send that along with resume.

Job Type

Full-time

Pay

From $55,000 per year. 401k match, health benefits included. Opportunity for bonuses and advancement based on achievement of objectives and personal growth.

Requirements

  • Creativity is likely the most valuable skill for this role.
  • Knowledge of investments is preferred
  • Proficiency with Microsoft Office and email marketing software applications
  • Solid work ethic and discipline
  • Ability to adhere to ethical code

Ability to commute/relocate

  • Havertown, PA 19083: Reliably commute or planning to relocate before starting work (Required)
  • Onsite required for the first three months. Thereafter, 3 days in the office, 2 days out.

Equal Opportunity Employer

We are an equal opportunity employer and abide by all rules concerning human civil rights. We welcome all candidates to apply and will provide fair consideration to all including candidates from diverse backgrounds.



Apply Now