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Bartholomew & Company | Worcester MA

Find financial strategies for individuals, businesses, governments and institutions. Our advisors create wealth plans that adapt as life changes.

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Bartholomew & Company, based in Worcester, MA, is a trusted brand specializing in financial planning and investment management since 1994. Whether you're an individual, family, business owner, or represent a community or institution, their team of experienced advisors is ready to work alongside you and help you achieve your financial goals. Their comprehensive services include investment management, retirement planning, tax planning, insurance planning, education funding, and estate planning. They understand that everyone's goals and circumstances are unique, which is why they take the time to listen and get to know your specific needs, interests, and values. What sets Bartholomew & Company apart is their focus on building strong personal connections with their clients. They offer consultative, flexible guidance and explore all available options to create customized financial plans that adapt as life changes. You'll also gain access to institutional-quality investment opportunities and benefit from their rigorous evaluation process. With over $4 billion in client assets advised by their team, Bartholomew & Company is grounded in relationships and driven by a purpose to help you achieve financial confidence. Contact them today to schedule a complimentary consultation and start building your financial future.

Finance

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A financial services firm focused on providing comprehensive financial management and planning services. The company is committed to delivering tailored investment advice and solutions, deeply integrated within the brokerage and financial advisory industries.

**Overview**

This opportunity offers a unique chance to be a part of a progressive financial services firm undergoing significant transitions and growth. The company is launching a Registered Investment Advisor (RIA) and seeks a dynamic and experienced professional to support this transformation. The role is critical in ensuring compliance and setting strategic direction, providing an impactful platform for implementing regulatory frameworks in a rapidly growing organization amidst evolving industry landscapes.

**Responsibilities**

*   Develop and implement compliance programs and policies for the firm's RIA launch.
*   Serve as the primary point for compliance decision-making and support the firm in navigating complex regulatory requirements.
*   Collaborate with an internal compliance team and external resources to ensure alignment with SEC regulations.
*   Provide strategic oversight during the transition from a broker-dealer network to an independent RIA format.
*   Lead the initiative for compliance testing, documentation, and resource selection.
*   Contribute to strategic decision-making within the financial services landscape, ensuring best practices and innovative solutions.
*   Act as a key advisor in setting up and managing the firm's compliance infrastructure, ensuring minimal disruption and maximum compliance efficiency.

**Qualifications**

*   Proven experience in compliance, ideally within a financial services or RIA environment.
*   In-depth knowledge of SEC regulations and the financial industry's compliance needs.
*   Strong strategic and operational leadership skills, with the ability to influence at a senior level.
*   Ability to manage multiple priorities in a fast-paced environment, demonstrating flexibility and adaptability.
*   Experience in overseeing or contributing to the establishment of compliance frameworks within financial institutions.
*   Excellent communication skills, capable of articulating complex compliance issues to a diverse audience.
*   Preferred experience working in or familiarity with independent RIA structures and higher-level strategic planning.
*   Ability to work effectively remotely, with a preference for candidates within Eastern or Central time zones for optimal synergy with the team.

Regulatory Compliance

Financial Services

Director of Compliance

Director of Regulatory Affairs

Advisor

Contract Compliance Advisor to lead RIA compliance setup for financial services firm

Bartholomew & Company | Worcester MA

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