Regulatory Operations Associate

COMPLY

. Assist investment advisers and other financial services firm customers with regulatory obligations.

Posted 4/20/2026full-timeRemote • 🇺🇸 United StatesJuniorMid-Level💰 $60,000 - $75,000 per yearWebsite

About the role

Key responsibilities & impact

Assist investment advisers and other financial services firm customers with regulatory obligations.
File annual updating amendments and other-than-annual amendments for Form ADV.
Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
Coordinate with state and SEC regulators to secure registration for customer firms.
Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
Handle Form D and blue sky filings for private funds.
Complete Form PF for hedge fund, private equity, and venture capital advisers.
Review disciplinary matters affecting customers for proper DRP disclosure.
Coordinate with Comply’s internal compliance experts, client services representatives, and other departments.
Attend team meetings and provide regular reporting to supervisor.
Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian.
Support remote team by clarifying and helping resolve complicated customer matters.
Assist your Regulatory Filings team with various other tasks as assigned.

Requirements

What you’ll need

Skilled in problem solving and analytical thinking.
Ability to multitask in performing complex responsibilities across multiple projects.
Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
Exceptional organizational and time management skills.

Benefits

Comp & perks

🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account COMPLY Website LinkedIn All Job Openings 201 - 500 employees 📋 Compliance 💸 Finance ☁️ SaaS Compliance
Finance
SaaS COMPLY is a comprehensive compliance solutions provider specializing in helping financial services firms navigate state or SEC compliance regulations. Offering software coupled with consulting, education, and support, COMPLY serves a broad range of clients including broker-dealers, hedge funds, insurance companies, investment advisers, and private equity firms. Their solutions include compliance program management, employee compliance monitoring, risk assessments, regulatory filings, and educational services to elevate compliance programs. With a strong focus on regulatory expertise, COMPLY empowers firms to maintain compliance and manage risks effectively. Regulatory Operations Associate Job not on LinkedIn 🔥 4 minutes ago 🇺🇸 United States – Remote 💵 $60k - $75k / year ⏰ Full Time 🟢 Junior 🟡 Mid-level 🚔 Compliance Apply Now Find Hiring Managers Customize resume for this job Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
Assist investment advisers and other financial services firm customers with regulatory obligations.
File annual updating amendments and other-than-annual amendments for Form ADV.
Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
Coordinate with state and SEC regulators to secure registration for customer firms.
Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
Handle Form D and blue sky filings for private funds.
Complete Form PF for hedge fund, private equity, and venture capital advisers.
Review disciplinary matters affecting customers for proper DRP disclosure.
Coordinate with Comply’s internal compliance experts, client services representatives, and other departments.
Attend team meetings and provide regular reporting to supervisor.
Work with Comply’s proprietary software, including MyRIACompliance and ComplianceGuardian.
Support remote team by clarifying and helping resolve complicated customer matters.
Assist your Regulatory Filings team with various other tasks as assigned. 🎯 Requirements
Skilled in problem solving and analytical thinking.
Ability to multitask in performing complex responsibilities across multiple projects.
Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
Exceptional organizational and time management skills. Apply Now 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score Similar Jobs Manager, IT Risk & Compliance 🔥 1 hour ago Celestica 10,000+ employees 🤝 B2B Website LinkedIn All Job Openings Manager of IT Risk & Compliance driving Governance, Risk, and Compliance program within Global IT Security. Ensuring alignment with global security strategies and regulatory requirements. 🇺🇸 United States – Remote 💵 $107k - $147k / year 💰 $660.4M Post-IPO Debt on 2021-09 ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance 🦅 H1B Visa Sponsor Compliance Manager 🔥 5 hours ago Serverfarm 51 - 200 🏢 Enterprise 📡 Telecommunications ☁️ SaaS Website LinkedIn All Job Openings Compliance Manager ensuring adherence to regulatory compliance requirements in data center operations. Overseeing audits and leading training initiatives for compliance best practices. 🇺🇸 United States – Remote 💵 $80k - $140k / year 💰 Debt Financing on 2021-10 ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance Compliance and Risk Specialist, Testing and Monitoring 🔥 5 hours ago Anchorage Digital 201 - 500 💸 Finance ₿ Crypto ☁️ SaaS Website LinkedIn All Job Openings Compliance & Risk member enhancing Bank's Fiduciary and Regulatory Compliance Program by identifying risks and control gaps. Involvement in managing various projects relating to compliance and risk assessments. 🇺🇸 United States – Remote 💰 $350M Series D on 2021-12 ⏰ Full Time 🟡 Mid-level 🟠 Senior 🚔 Compliance 🦅 H1B Visa Sponsor Compliance & Risk Specialist 🔥 10 hours ago Compass Surgical Partners 11 - 50 🤝 B2B 🏠 Real Estate Website LinkedIn All Job Openings Compliance & Risk Specialist at Compass Surgical Partners overseeing insurance programs and compliance functions. Focused on mitigating operational exposure and supporting regulatory adherence. 🇺🇸 United States – Remote 💰 Private Equity Round - Compass Surgical Partners on 2024-01 ⏰ Full Time 🟢 Junior 🟡 Mid-level 🚔 Compliance Compliance Audit Supervisor 🕒 3 days ago Central Research, Inc. 201 - 500 🏛️ Government 💸 Finance Website LinkedIn All Job Openings Compliance Audit Supervisor managing audit coordination for Central Research. Overseeing audit lifecycle phases while ensuring compliance with regulations and contractual obligations. 🇺🇸 United States – Remote 💵 $50k - $60k / year ⏰ Full Time 🟢 Junior 🟡 Mid-level 🚔 Compliance 🚫👨‍🎓 No degree required View More Compliance Jobs 🌐 Worldwide Built by Lior Neu-ner. I'd love to hear your feedback — Get in touch via DM or support@remoterocketship.com Search Search Jobs by country Search jobs by city Search jobs by job title Search entry-level jobs Search junior-level jobs Search senior-level jobs Search jobs by tech stack Search jobs by contract type Search remote internships Search remote part-time jobs Remote jobs Anywhere in the World Companies Hiring Anywhere in the World Companies Hiring Sales People Anywhere in the World Companies Hiring Software Engineers Anywhere in the World Resources Advice Tips for finding remote jobs Interview questions and answers Resume examples Cover letter examples Post a job Affiliates Privacy policy Terms of service Job board SEO course AI Apply Copilot OpenClaw job finder Jobs by Country Remote jobs anywhere in the world (Worldwide remote jobs) Remote jobs United States Remote jobs Australia Remote jobs Brazil Remote jobs Canada Remote jobs France Remote jobs Ireland Remote jobs Germany Remote jobs Netherlands Remote jobs Spain Remote jobs UK Popular Jobs Remote data analyst jobs Remote customer support jobs Remote executive assistant jobs Remote marketing jobs Remote product designer jobs Remote product manager jobs Remote project manager jobs Remote recruiter jobs Remote sales jobs Remote software engineer jobs Jobs by Type Remote full-time jobs Remote part-time jobs Remote contract jobs Remote internship jobs Remote entry-level jobs Remote jobs with no experience required Remote junior jobs (1-3 years of experience) Digital nomad jobs Remote jobs with no degree required Freelance remote jobs Temporary remote jobs Remote jobs hiring now Stay at home mom jobs

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Hard Skills & Tools

regulatory obligationsForm ADVForm U4SEC EDGAR filingsForm 13FForm 13HForm IDForm DForm PFDRP disclosure

Soft Skills

problem solvinganalytical thinkingmultitaskinginterpersonal skillsrelationship managementclient service orientationcollaborationorganizational skillstime management