Job Description
Description Sapient Capital is a privately owned, independent advisory firm with over $13bn in assets under management, serving ultra-affluent worth families and individuals, foundations, and institutions. As a fast-growing registered investment advisor (RIA), we specialize in providing our clients with a uniquely tailored service offering that includes sophisticated investment management, advanced financial planning and comprehensive family office solutions all tied together with cutting edge technology. Sapient is headquartered in Indianapolis with offices in New York, Miami, and Los Angeles.
Job Overview We are seeking a highly analytical and detail-oriented individual to support the firm’s legal and regulatory compliance functions including core compliance operations, regulatory filings, and legal documentation management. The Associate will work closely with the trading team, external compliance consultants, service providers, and internal stakeholders to ensure the firm remains compliant with SEC, state, and applicable international regulatory requirements.
This position is based in
Indianapolis, Indiana , and will report to the Chief Legal Officer / CCO. Consistent in-person attendance is required.
Compliance Operations What You Will Do:
- Review and approve marketing and investor-facing materials in accordance with SEC advertising rules.
- Coordinate with the trading team and external compliance consultants to monitor ownership thresholds and prepare required filings, including:
- Schedule 13G, 13F, and 13H filings.
- Assist in the preparation, maintenance, and updating of the firm’s Form ADV (Parts 1, 2A, and 2B), including quarterly and annual updates.
- Support compliance-related employee onboarding, including documentation, acknowledgements, and system access.
- Manage Investment Adviser Representative (IAR) registrations and ongoing requirements, including:
- U-4/U-5 filings
- FINRA licensing exam registrations and tracking
- Documentation review
- Continuing education tracking
- Coordinate firmwide compliance training, track completion, and manage follow-ups.
- Serve as first line of responsibility for maintaining, updating, and organizing compliance policies, procedures, and internal documentation.
- Schedule, prepare for, and lead recurring meetings with the firm’s external compliance consultants, including documentation of action items.
- Participate in monthly cybersecurity and information security meetings and assist with compliance-related initiatives.
- Respond to firm restricted list inquiries and assist with monitoring and escalation where appropriate.
- Review trade errors and assist in remediation and documentation as needed.
- Track compliance projects, deadlines, and action items, ensuring timely completion and follow-up.
Legal & Regulatory Operations - Track and manage relationships with service providers, including maintaining vendor documentation and records.
- Review, track, and archive nondisclosure agreements (NDAs).
- Assist with the review of routine and low-complexity contracts for:
- Service providers
- Counterparties
- New employees
- Consultants
- Coordinate and track periodic AML refreshes for counterparties, service providers, and related entities.
- Review updated client wealth management agreements (WMAs) and ensure proper documentation and retention.
- Provide ongoing project tracking, follow-up, and administrative support for legal-related initiatives.
- Other duties as assigned.
Requirements - Bachelor’s degree or higher in finance, business, legal studies, or a related field. JD-degree is a plus. An equivalent blend of experience may be considered in lieu of degree.
- 2+ years of experience in compliance, legal operations, or a regulated financial services environment. Familiarity with SEC-registered investment adviser compliance frameworks preferred.
- Exposure to regulatory filings (e.g., Form ADV, 13F/13G, AML) is a plus.
- Strong organizational skills with the ability to manage recurring deadlines and regulatory calendars.
- High attention to detail and accuracy, particularly with regulatory and contractual documentation.
- Strong written and verbal communication skills.
- High level of integrity, professionalism, and discretion in handling sensitive and confidential information.
- Proficient in Microsoft Office tools. Prior experience with CRM systems, Addepar, and Netx360 a plus.
Sapient Capital is an Equal Opportunity Employer. Sapient does not discriminate based on race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status, or any other basis covered by appropriate law. All employment is decided based on qualifications, merit, and business need.
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