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Facet · 1 day ago

Compliance Analyst

United States

Full-time

Remote

Senior Level

$100K/yr - $120K/yr

5+ years exp

Facet is a fast-growing fintech company revolutionizing personal finance. As a Compliance Analyst, you will ensure compliance with regulatory requirements and support the team in building a work environment of integrity while addressing member issues and developing policies to meet the business's needs.

AdviceFinanceFinancial ServicesWealth Management

Responsibilities

Support all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA’s and more

Partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs. This could include marketing programs, product development, planning recommendations and introducing new member capabilities

Act as a daily resource to the team on compliance questions and issues, and work with the team on ongoing needs and challenges

Act as a key point of contact in supporting member issues so we can quickly manage any situation to do what is best for our members

Support our ongoing regulatory filings (ADV’s are important) and member agreements

Work with compliance partners and other outside resources we use to ensure we always have an up to date and forward looking program, and solve critical problems

Support the onboarding of all new hires into our compliance program

Proactively build out policies and procedures that meet the changing needs of our growing business

Qualification

Compliance experienceRegistered Investment AdvisorMarketing complianceRisk assessmentsAudits experienceClient service skillsComputer skillsCommunication skillsOrganizational skillsProblem solvingTime management

Required

Support all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA's and more

Partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs

Act as a daily resource to the team on compliance questions and issues

Act as a key point of contact in supporting member issues

Support our ongoing regulatory filings (ADV's are important) and member agreements

Work with compliance partners and other outside resources to ensure we always have an up to date and forward looking program

Support the onboarding of all new hires into our compliance program

Proactively build out policies and procedures that meet the changing needs of our growing business

Preferred

5+ years of compliance experience with a Registered Investment Advisor

Willing to learn the Facet Way and understand how to support it with compliance expertise

Experience in working with marketing and advertising, and have shown an ability to support teams with compliant solutions

Experience in working in operations, with custodians and understand the basics of trading

Ability for creative problem solving to come up with balanced solutions to meet the needs of different stakeholders

Experience with audits or in doing risk assessments

Superb communication, organizational and client service skills

Excellent computer skills along with the ability to learn in-house software and tools

Ability to provide constructive feedback

Able to work independently and as a member of a team, balance multiple responsibilities simultaneously, and demonstrate exceptional time and calendar management skills

Benefits

Equity (ISO)

Flexible PTO

All the benefits: medical, dental, and vision insurance, 401(k) with employer match, short and long term disability coverage (paid by Facet), life insurance options and paid parental leave

Certification reimbursement program

Work from anywhere in the US