Compliance Generalist

XYPN

Compliance Generalist supporting compliance operations at SEC-registered investment adviser managing $1B in assets. Engaging in compliance policies and developing systems as needed.

Posted 4/30/2026full-timeRemote • Arizona, California, Colorado, Florida, Illinois, Maine, Massachusetts, Minnesota, Missouri, Montana, New York, North Carolina, Texas, Utah, Washington, Wisconsin • 🇺🇸 United StatesMid-LevelSenior💰 $72,000 - $93,600 per yearWebsite

About the role

Key responsibilities & impact

Serve as a day-to-day partner of the compliance team.
Maintain the Compliance Manual, BCP, and overall policies for the firm.
Execute and document ongoing compliance testing, including fee billing audits.
Contribute to the annual Rule 206(4)-7 review process.
Review financial planning engagements and compliance of fee-for-service arrangements.
Participate in onboarding new advisors, including filings and training.
Deliver training materials and guidance to advisors and staff.
Edit, recommend, and amend compliance policies as needed.
Monitor TAMP operations and document vendor reviews.
Support Form ADV preparation and assist with regulatory filings.
Serve as a compliance resource for advisor questions.
Administer personal trading monitoring and employee certifications.
Help ensure the firm’s audit-readiness prior to examinations.
Review marketing materials for compliance with Rule 206(4)-1.

Requirements

What you’ll need

3–8 years of compliance experience at an SEC-registered RIA.
Working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations.
Experience with compliance testing, monitoring, and regulatory filings.
Comfort with compliance technology platforms (Orion, Hadrius, ComplySci, RedOak, etc.) and systems (CRD, EDGAR, IAPD).
Ability to work independently and manage competing priorities.
Proactive, solutions-oriented approach.
Comfortable on calls and in the weeds with advisors on real issues.
Legally authorized to work in the United States without sponsorship.

Benefits

Comp & perks

100%- employer-funded Employee Stock Ownership Plan (ESOP).
Unlimited vacation days to maintain work-life harmony (requiring a minimum of 3 weeks per year).
9 paid holidays with flexible options.
401(k) with matching (6% employee contribution, 4.5% company match).
12 weeks paid parental leave for childbirth or adoption.
Health insurance with employer contribution.
Options for Dental, Vision, Voluntary Life and AD&D, and Accident insurance.
Availability of pet insurance.
Health Savings & Flex Spending Accounts.
Employer-paid Life and AD&D insurance.
Employer-paid Long Term Disability coverage.
Up to $150/month for financial planner services, plus $500 towards upfront fees.
$2000/year for professional development (prorated by start date).
$250/quarter wellness allowance.
$500 donation to a non-profit for 40 hours of volunteering.
Sabbatical program with bonuses and extra time off at 5, 10, and 15 years.
Subsidized employer-sponsored childcare (availability may vary).
Company-issued Apple laptop.

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Hard Skills & Tools

compliance testingregulatory filingsfee billing auditspersonal trading monitoringemployee certificationsRule 206(4)-7 reviewRule 206(4)-1 complianceInvestment Advisers Act of 1940fiduciary obligations

Soft Skills

independent workmanaging competing prioritiesproactive approachsolutions-orientedcommunication with advisors