Compliance Analyst
New
F
FacetFinancial Services
Work from anywhere in the U.S.Full-TimeMiddle
Salary$100,000 - $120,000 base salary + bonus
Apply NowOpens the employer's application page
Job Details
- Experience
- 5+ years
- Required Skills
- Compliance
Requirements
- 5+ years of compliance experience with a Registered Investment Advisor.
- A desire to understand a tech-first, flat-fee model.
- Proven ability to provide balanced, compliant solutions to meet the needs of different stakeholders.
- Comfortable working with proprietary tech and AI-driven tools.
- Superb organizational skills.
- Ability to provide constructive feedback to help enhance the company offering.
- Ability to thrive in a nimble, fast-paced environment.
Responsibilities
- Partner directly with business units to support creative marketing campaigns, product development, and new member capabilities.
- Act as a daily resource for the team, finding compliant ways to deliver creative messages to our intended audience.
- Support critical day-to-day responsibilities including IAR registrations, communication reviews, OBA’s, and regulatory filings (ADV’s).
- Proactively build policies and procedures that meet the needs of a company doubling its growth.
- Act as a key point of contact for member issues to ensure we always do what is best for the 16,000+ members we serve.
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