Compliance Analyst

About Our Client

The organization operates in the financial advisory industry, addressing the need for personalized, objective financial advice accessible without asset minimums. It delivers comprehensive financial planning that encompasses all aspects of money management beyond investments. The team of certified professionals is supported by proprietary technology to provide holistic advice through an affordable, flat membership model. The company has earned national recognition for its innovative approach, including top rankings from USA TODAY and Newsweek, and maintains high customer satisfaction and accreditation ratings.

About the Opportunity

The Compliance Analyst plays a critical role in ensuring the organization’s services and processes comply with regulatory standards while supporting innovation. This role facilitates collaboration across departments to enable compliant marketing, product development, and member services. The position contributes to maintaining the integrity of financial advice delivered and supports the company's growth and transition to a subscription-based model.

Responsibilities

• Collaborate with business units to support marketing campaigns, product development, and member services.
• Provide daily compliance guidance to enable creative and effective communication strategies.
• Manage essential compliance tasks including registrations, communication reviews, outside business activities, and regulatory filings.
• Develop policies and procedures aligned with organizational growth and subscription metrics.
• Serve as a primary contact for member issues to ensure member interests are prioritized.

Requirements

• Minimum of 5 years compliance experience with a Registered Investment Advisor.
• Understanding of and willingness to support a technology-driven, flat-fee financial model.
• Ability to offer balanced, practical compliance solutions tailored to diverse stakeholders.
• Experience working with proprietary technology and AI tools.
• Strong organizational skills and capacity to provide constructive feedback.
• Adaptability to a fast-paced, dynamic work environment.

Pay

Base salary between $100,000 and $120,000 plus bonus. Equity ownership in a rapidly growing financial services company.

Schedule

Remote-first work culture within the United States.

Benefits

• Flexible paid time off policy.
• Comprehensive medical, dental, and vision insurance.
• 401(k) match.
• Disability insurance.
• Paid parental leave.
• Wellness and education reimbursement programs.