Compliance Analyst

This is a fully remote position, open to applicants in United States.

📋 Description

• Collaborate closely with business units to facilitate innovative marketing initiatives, product development, and enhance new member functionalities.

• Serve as a daily resource for the team, identifying compliant methods to convey creative messages to the target audience.

• Assist with IAR registrations, communication assessments, OBA’s, and regulatory submissions (ADV’s).

• Develop policies and procedures for a rapidly expanding company striving for excellence in subscription metrics.

• Act as a primary contact for member-related issues to ensure optimal outcomes for over 16,000 members.

• Work in partnership with Marketing, Sales, Product, and Planning teams.

• Evaluate AI-driven tools for the planning engine.

• Contribute to designing compliance systems for a flat-fee financial advice model.

⛳️ Requirements

• A minimum of 5 years of compliance experience with a Registered Investment Advisor.

• A strong desire to comprehend and support a tech-centric, flat-fee model backed by compliance expertise.

• Demonstrated ability to deliver balanced, compliant solutions for various stakeholders.

• Proficient in utilizing proprietary technology and AI-driven tools.

• Excellent organizational capabilities.

• Capacity to provide constructive feedback to improve the service offering.

• Ability to excel in a dynamic, fast-paced environment.

🏝️ Benefits

• Competitive Compensation: $100,000 - $120,000 base salary + bonus.

• Equity in a rapidly growing company.

• Remote-first culture—work from anywhere in the U.S.

• Flexible Paid Time Off (PTO).

• Medical coverage.

• Dental coverage.

• Vision coverage.

• 401(k) matching.

• Disability benefits.

• Paid parental leave.

• Wellness reimbursement.

• Education reimbursement programs.