About the role

Role Overview

Join a growing advisory platform as a Compliance Analyst. The role focuses on advisor licensing and registration within a complex, fast-expanding financial services environment.

Responsibilities

Support advisor onboarding, registration, and licensing activities
Handle compliance operations related to advisor licensing and registrations
Work with a team distributed across the U.S., emphasizing responsiveness, judgment, and ownership

Requirements

Experience in advisor licensing and registrations within a financial services compliance function
Background working in a RIA, broker-dealer, or related environment

Nice-to-Haves

Experience supporting compliance processes for a large population of financial advisors

About Taylor Root

The job posting is for Taylor Root, a recruitment firm partnering with a leading financial services company. The partner company operates an advisory platform that has made multiple acquisitions and is pursuing an active growth strategy. The role focuses on compliance operations tied to advisor licensing and registrations.