Compliance Analyst - Remote

Overview

As our Compliance Analyst, you'll work directly with the Chief Compliance Officer to build and maintain a robust compliance framework that enables growth while ensuring proper risk management.

In Short

• Drive first-line supervisory responsibilities including trading oversight, outside business activities, and registration management
• Build and maintain strong relationships with advisors as their primary compliance resource and guide
• Monitor and analyze reports from SMARSH and SMARTRIA to ensure ongoing compliance
• Conduct periodic office visits and participate in mock audits to strengthen supervisory practices
• Investigate suspicious patterns and conduct thorough reviews when needed
• Develop and deliver targeted training programs based on advisor needs and regulatory changes
• Review transaction blotters and office activities to maintain compliance standards
• Partner with recruiting to vet potential advisor candidates
• Manage compliance system onboarding for new associates
• Support the development of scalable compliance solutions that enable business growth

Requirements

• 3+ years of supervisory experience in financial services
• Bachelor's degree
• Deep knowledge of financial products including mutual funds, annuities, and general securities
• Entrepreneurial mindset with strong problem-solving abilities
• Outstanding communication skills and relationship-building capacity
• Ability to adapt quickly in a fast-paced environment
• Track record of developing practical compliance solutions

Benefits

• Competitive comp package that rewards impact
• Work alongside some of the brightest minds in fintech
• Ground-floor opportunity at a fast-scaling startup
• Chart your own growth path as we expand
• Full health benefits + 401(k) matching & Roth IRA options
• Unlimited PTO