Compliance Analyst
$100,000–$120,000 year
RemoteUnited States
Job Summary
Partner directly with business units to support creative marketing campaigns, product development, and new member capabilities by finding compliant paths for ideas the industry hasn't touched. Act as a daily resource for the team, ensuring our advice remains objective and processes stay seamless through IAR registrations, communication reviews, OBA's, and regulatory filings. Proactively build policies and procedures that meet the needs of a company doubling its growth while serving as a key point of contact for member issues. Work in lockstep with Marketing, Sales, Product, and Planning to equip teams to deliver life-changing advice in a safe way using proprietary tech and AI-driven tools.
Required Qualifications
- 5+ years of compliance experience with a Registered Investment Advisor
- A desire to understand a tech-first, flat-fee model and support it with compliance expertise
- Proven ability to provide balanced, compliant solutions to meet the needs of different stakeholders rather than simply citing rules
- Comfortable working with proprietary tech and AI-driven tools
- Superb organizational skills and the ability to provide constructive feedback to help enhance our offering
- Ability to thrive in a nimble, fast-paced environment where no two days look exactly the same
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