Compliance Associate

🔥 58 minutes ago

🌵 Arizona, California, +9 more states – Remote

🌵 Arizona – Remote 🏄 California – Remote ⛰️ Colorado – Remote 🐊 Florida – Remote 🌽 Illinois – Remote 🦬 Montana – Remote 🌲 North Carolina – Remote 🚗 Michigan – Remote ❄️ Minnesota – Remote 🤠 Texas – Remote ⛷️ Utah – Remote

💵 $53k - $63.5k / year

⏰ Full Time

🟢 Junior

🟡 Mid-level

🚔 Compliance

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XYPN

WebsiteLinkedInAll Job Openings

51 - 200 employees

💸 Finance

💼 Consulting

🤝 B2B

Finance • Consulting • B2B

XYPN is the only turnkey advice and planning platform that enables fee-for-service financial advisors to build their independent firms with complete autonomy. The company provides ongoing advocacy and access to education and training, curated technology, compliance support, community, and back-office and client support services, helping financial advisors realize their professional goals.

📋 Description

• Review advisor websites, blogs, newsletters, emails, social media, and other marketing materials for compliance with SEC rules and firm policies • Conduct routine compliance testing, monitoring, and internal audits • Serve as a first point of contact for routine advisor compliance questions • Maintain required compliance records and documentation • Help develop and update internal procedures, advisor guidance, and training materials • Participate in projects that improve compliance processes, technology, and documentation

🎯 Requirements

• Bachelor’s degree or equivalent professional experience • Strong analytical and problem-solving skills • Excellent written communication and editing ability • Exceptional attention to detail, organization, and follow-through • Ability to balance multiple priorities, reviews, and deadlines • Comfort learning complex regulations and applying them consistently • Strong interpersonal skills and the ability to communicate professionally with advisors • Intellectual curiosity and willingness to investigate unfamiliar regulatory and operational questions • Sound judgment and ability to recognize when an issue should be escalated • Legally authorized to live and work in the U.S. without present or future need for sponsorship

🏖️ Benefits

• 100%- employer-funded Employee Stock Ownership Plan (ESOP) • Unlimited vacation days to maintain work-life harmony (minimum of 3 weeks required) • 9 paid holidays (flexible holidays) • 401(k) with match (6% input and 4.5% match) • 12 weeks paid parental leave for birth or adoption • Health insurance with employer contribution • Dental, Vision, Voluntary Life and AD&D, and Accident insurance options • Pet insurance availability • Health Savings & Flex Spending Accounts available • Employer-paid Life and AD&D insurance • Employer-paid Long Term Disability coverage • Up to $150/month for financial planner fees • $2000/year for professional development (prorated by start date) • $250/quarter wellness spending • $500 donation to a non-profit of choice when volunteering 40 hours/year • Sabbatical program with cash bonus and extra time off at 5, 10, and 15 years • Subsidized employer-sponsored childcare through the internal child care program (subject to availability) • Various gym discounts • Company-owned laptop computer provided (Apple Products)