Facet · 2 weeks ago
Compliance Analyst
United States
Full-time
Remote
New Grad, Entry LevelFacet is a fast-growing fintech company revolutionizing personal finance. As a Compliance Analyst, you will work with the entire Facet team to ensure compliance with regulatory requirements and support the solutions we need to find for our members.
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
Required
Experience in compliance or regulatory roles within the financial services industry
Strong understanding of compliance regulations and requirements
Excellent communication skills, both written and verbal
Ability to work collaboratively with cross-functional teams
Strong analytical and problem-solving skills
Detail-oriented with a focus on accuracy
Ability to manage multiple tasks and prioritize effectively
Proficiency in using compliance-related software and tools
Company
Facet
Facet provides financial planning and advice tailored to individual needs and goals.
Founded in 2016
201-500 employees
Funding
Current Stage
Growth StageTotal Funding
$193MKey Investors
Multiplier CapitalDurable Capital PartnersWarburg Pincus
2024-10-08Series Unknown· $10M
2024-10-08Debt Financing· $25M
2021-12-27Series C· $100M
Leadership Team
Anders Jones
CEO & Co-Founder
Brent Weiss
Co-Founder & Head of Financial Wellness
Recent News
Morningstar.com
2025-08-06
2025-07-05
2025-04-17
Company data provided by crunchbase