Compliance Associate

About the role

Sapphire allows fee-only advisors to operate under our RIA while we provide compliance, investment, and operational support so they can focus on serving their clients.

Responsibilities

• Marketing and Communications Review: Review advisor websites, blogs, newsletters, emails, social media, videos, and other marketing materials for compliance with SEC rules and firm policies. Conduct and document reviews and communicate required revisions clearly and constructively to advisors. Escalate higher-risk, complex, or ambiguous materials for additional review.
• Compliance Monitoring and Supervision: Perform routine compliance testing, monitoring, and internal audits. Assist with advisor branch examinations and supervisory reviews. Gather and review client files, trade records, financial plans, correspondence, and other required documentation. Document findings, track follow-up items, and help ensure issues are resolved within established timelines.
• Advisor Support: Serve as a first point of contact for routine advisor compliance questions. Escalate complex, sensitive, or higher-risk matters to the appropriate compliance leader. Research firm policies and applicable requirements and provide clear, practical guidance. Help advisors understand compliance expectations and how they apply to their businesses. Document guidance and decisions consistently.
• Regulatory and Administrative Support: Maintain required compliance records and documentation. Assist with regulatory filings, disclosures, and policy updates. Support responses to SEC examinations, regulatory requests, and internal reviews. Help maintain organized and complete compliance files. Learn and effectively use the firm’s compliance technology, recordkeeping systems, and workflow tools.
• Process Improvement and Special Projects: Help develop and update internal procedures, advisor guidance, templates, and training materials. Participate in projects that improve compliance processes, technology, documentation, and efficiency. Conduct research on regulatory developments, technology questions, and emerging compliance issues. Partner with our affiliated compliance consulting team on selected research and program initiatives.

Qualifications

• Bachelor’s degree or equivalent professional experience.
• Strong analytical and problem-solving skills.
• Excellent written communication and editing ability.
• Exceptional attention to detail, organization, and follow-through.
• Able to balance multiple priorities, reviews, and deadlines.
• Comfort learning complex regulations and applying them consistently.
• Strong interpersonal skills and the ability to communicate professionally with advisors.
• An intellectual curiosity and a willingness to investigate unfamiliar regulatory and operational questions.
• A demonstrated interest in developing a long-term career in investment adviser compliance.

Benefits

• Salary: $53,000 - $63,500 / annually
• All team members at XYPN are owners! We offer a 100%-employer-funded Employee Stock Ownership Plan (ESOP).
• Unlimited vacation days to maintain work-life harmony (we require that you take a minimum of 3 weeks of vacation per year)
• 9 paid holidays (we offer flexible holidays!)
• 401(k) with match; you put in 6%, and we put in 4.5%.
• Health insurance with employer contribution.
• Dental, Vision, Voluntary Life and AD&D, and Accident insurance options.
• Pet insurance availability
• Health Savings & Flex Spending (Health, Limited & Dependent Care) Accounts available
• Employer-paid Life and AD&D insurance.
• Employer-paid Long Term Disability coverage.
• Up to $150/month to cover the cost of working with a financial planner, plus up to $500 toward the upfront fee.
• $2000/year (prorated by start date) to put towards professional development
• $250/quarter to spend on yourself specific to our core value of "Be Well Being You."
• $500 donated to a non-profit organization of your choice when you volunteer 40 hours within the calendar year.
• A sabbatical program that includes a cash bonus and extra time off at 5, 10, and 15 years.
• Subsidized employer-sponsored childcare through our internal child care program. (Subject to availability)
• Variety of Gym discounts
• Company-owned laptop computer provided (Apple Products).