Compliance Analyst

Role Overview

The Compliance Analyst ensures the organization’s services and processes meet regulatory standards while enabling compliant innovation. You’ll collaborate across departments to support marketing, product development, and member services, helping protect the integrity of financial advice as the company grows and transitions to a subscription-based model.

Responsibilities

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

Requirements

• Minimum of 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 deliver practical, balanced 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 plus bonus.
• Equity ownership in a growing financial services company.
• Remote-first culture (within the United States), flexible paid time off.
• Comprehensive benefits including medical, dental, vision, 401(k) match, disability insurance, paid parental leave, wellness, and education reimbursement.