Compliance Analyst

Posted Jul 2

Description

About The Role:

At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we are in compliance with all regulatory requirements. We work in a fast paced environment and we’re trying to disrupt the industry so your work will be critical in supporting the solutions we need to find for our clients. 

Responsibilities:

  • You are responsible for supporting all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA’s and more.
  • You will 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 and introducing new member capabilities. 
  • You are a daily resource to the team on compliance questions and issues, and work with the team on ongoing needs and challenges. 
  • You are a key point of contact in resolving member problems and issues so we can quickly manage any situation to do what is best for our members. 
  • You will support our ongoing regulatory filings (ADV’s are important) and member agreements. 
  • You will 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. 
  • You will support the onboarding of all new hires into our compliance program. 
  • You are proactive in building out policies and procedures that meet the changing needs of our growing business.

Requirements

  • Bachelor’s degree or higher
  • 5+ years of compliance experience with a Registered Investment Advisor

Preferred Skills & Experience:

  • You are willing to learn the Facet Way and understand how to support it with compliance expertise. 
  • You have experience in working with marketing and advertising, and have shown an ability to support teams with compliant solutions to deliver the firm’s message. 
  • You have experience in working in operations, with custodians and understand the basics of trading.
  • You have shown an ability for creative problem solving to come up with balanced solutions to meet the needs of different stakeholders. 
  • You have experience with audits or in doing risk assessments. 
  • You have superb communication, organizational and client service skills. 
  • You have excellent computer skills along with the ability to learn in-house software and tools 
  • You have the ability to provide constructive feedback: we continue to enhance our offering and rely on our team’s feedback for improvement 
  • You are able to work independently and as a member of a team, balance multiple responsibilities simultaneously, and demonstrate exceptional time and calendar management skills

Benefits

  • $100,000-$120,000 base salary + bonus
  • Equity
  • 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
  • Certification reimbursement program
  • Work from anywhere in the US