Accounting and Compliance Officer

We are seeking a candidate with entry level experience in accounting, audit, or compliance to join the Elm Wealth team in a dual-role position. This role would be responsible for both day-to-day bookkeeping/accounting functions and working with our Compliance Consultants to maintain the ongoing compliance responsibilities of a Registered Investment Adviser.

Primary responsibilities would include:

· Completion of day to day bookkeeping functions, including processing accounts payable and receivable

· Recording and reconciling transactions for bank accounts, credit cards, custodial billing accounts, and internal financial records

· Assisting with employee expense tracking

· Supporting the preparation of financial reports for management and external accountants

· Coordinating with our Compliance Consultants to maintain the firm’s compliance program in accordance with SEC, FINRA, and state regulatory requirements

· Maintaining and updating the firm's compliance policies and procedures

· Assisting with regulatory filings such as Form ADV annual updates and amendments

· Assisting with compliance reviews related to advertising, communications, and client documentation standards

· Conducting periodic compliance testing and reviews of firm practices

· Providing compliance support and training to firm staff as needed

The ideal candidate would have familiarity with accounting software such as QuickBooks Online, strong organizational skills, attention to detail, discretion with confidential information, and the ability to manage multiple priorities independently. Experience with RIA compliance requirements and related certifications are a plus but not required.

Job Type: Full-time

Pay: $65,000.00 - $75,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Employee discount
• Health insurance
• Health savings account
• Life insurance

Work Location: Hybrid remote in Philadelphia, PA