Compliance Analyst

Role Overview

The Compliance Analyst ensures the organization’s services and processes comply with applicable regulatory standards while supporting innovation. You will work cross-functionally to enable compliant marketing, product development, and member services, helping maintain the integrity of the advice delivered.

Responsibilities

• Collaborate with business units to support marketing campaigns, product development, and member services.
• Provide daily compliance guidance to enable creative, effective communication strategies.
• Manage compliance processes including:
  • Registrations
  • Communication reviews
  • Outside business activities
  • 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

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

Compensation & Benefits

• Base salary: $100,000–$120,000 + bonus
• Equity in a growing financial services company
• Remote-first culture within the United States
• Flexible paid time off
• Benefits: medical, dental, vision, 401(k) match, disability insurance, paid parental leave, wellness and education reimbursement programs