Compliance Analyst

Role Overview

The Compliance Analyst ensures the organization’s services and processes comply with applicable regulatory standards while supporting innovation. The role partners with multiple departments to enable compliant marketing, product development, and member services, helping maintain the integrity of the financial advice delivered.

Responsibilities

• Collaborate with business units to support marketing campaigns, product development, and member services
• Provide daily compliance guidance to enable clear, compliant communications
• Manage key compliance activities including:
  • registrations
  • communication reviews
  • outside business activities
  • regulatory filings
• Develop policies and procedures aligned with growth and subscription metrics
• Act as a primary contact for member issues to ensure member interests are prioritized

Requirements

• Minimum 5 years 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 across diverse stakeholders
• Experience working with proprietary technology and AI tools
• Strong organizational skills and ability to deliver constructive feedback
• Adaptable to a fast-paced, dynamic environment

Compensation & Benefits

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