Compliance Associate

XYPN

4d • $55,000 - $63,500 • Remote

About The Position

As a Compliance Associate, you will support the day-to-day operation of Sapphire’s compliance program. Your work will include advisor communications and advertising review, ongoing supervision, compliance testing, branch examinations, regulatory documentation, advisor support, and special projects. This is an early-career compliance role designed to build a strong foundation across the operations of an SEC-registered RIA. Communications and advertising review will be a significant part of the role, particularly during your first year, but the position is intentionally broader than review alone. You will gain exposure to policy interpretation, regulatory filings, examinations, advisor oversight, operational risk, and compliance program improvement. You will work closely with the Chief Compliance Officer and other members of the compliance team. Over time, you will take greater ownership of routine reviews and compliance activities while developing the judgment to identify risk, provide practical guidance, and escalate complex matters appropriately.

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 a willingness to investigate unfamiliar regulatory and operational questions.
• Sound judgment and the ability to recognize when an issue should be escalated.
• Legally authorized to live and work in the United States without present or future need for sponsorship.

Nice To Haves

• Experience in financial services.
• Experience as a compliance professional, financial advisor, advisor assistant, operations associate, or client service associate.
• Familiarity with SEC-registered investment advisers.
• Experience reviewing advertising, marketing, or other regulated communications.
• Experience supporting branch examinations, regulatory audits, or quality assurance reviews.
• Experience editing technical or regulated documents.
• Familiarity with compliance management, workflow, or record keeping technology.
• Series 65 or other relevant industry licensing, or a willingness to obtain it.
• A demonstrated interest in developing a long-term career in investment adviser compliance.

Responsibilities

• Review advisor websites, blogs, newsletters, emails, social media, videos, and other marketing materials for compliance with SEC rules and firm policies.
• Conduct and document reviews and communicate required revisions clearly and constructively to advisors.
• Escalate higher-risk, complex, or ambiguous materials for additional review.
• Perform routine compliance testing, monitoring, and internal audits.
• Assist with advisor branch examinations and supervisory reviews.
• Gather and review client files, trade records, financial plans, correspondence, and other required documentation.
• Document findings, track follow-up items, and help ensure issues are resolved within established timelines.
• Serve as a first point of contact for routine advisor compliance questions, and escalate complex, sensitive, or higher-risk matters to the appropriate compliance leader.
• Research firm policies and applicable requirements and provide clear, practical guidance.
• Help advisors understand compliance expectations and how they apply to their businesses.
• Document guidance and decisions consistently.
• Maintain required compliance records and documentation.
• Assist with regulatory filings, disclosures, and policy updates.
• Support responses to SEC examinations, regulatory requests, and internal reviews.
• Help maintain organized and complete compliance files.
• Learn and effectively use the firm’s compliance technology, recordkeeping systems, and workflow tools.
• Help develop and update internal procedures, advisor guidance, templates, and training materials.
• Participate in projects that improve compliance processes, technology, documentation, and efficiency.
• Conduct research on regulatory developments, technology questions, and emerging compliance issues.
• Partner with our affiliated compliance consulting team on selected research and program.

Benefits

• Employee Stock Ownership Plan (ESOP)
• Unlimited vacation days
• 9 paid holidays
• 401(k) with match
• 12 weeks paid parental leave
• Health insurance w/ employer contribution
• Dental insurance
• Vision insurance
• Voluntary Life and AD&D insurance
• Accident insurance options
• Pet insurance availability
• Health Savings Accounts
• Flex Spending Accounts (Health, Limited & Dependent Care)
• Employer-paid Life and AD&D insurance
• Employer-paid Long Term Disability coverage
• Up to $150/month to cover the cost of working with a financial planner, plus up to $500 toward the upfront fee.
• $2000/year (prorated by start date) to put towards professional development
• $250/quarter to spend on yourself specific to our core value of "Be Well Being You."
• $500 donated to a non-profit organization of your choice when you volunteer 40 hours within the calendar year.
• Sabbatical program that includes a cash bonus and extra time off at 5, 10, and 15 years.
• Subsidized employer-sponsored childcare
• Various Gym discounts
• Company-owned laptop computer provided (Apple Products).

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree