Compliance Generalist

XYPN

5d•Hybrid

About The Position

We're looking for a Compliance Generalist to work closely with our compliance team and CCO as an operational partner. This isn't a narrow, task-execution role; you'll contribute to the core parts of the compliance program, develop genuine breadth across our business, and build toward a compliance generalist role. The right person enjoys both doing and problem-solving. You'll be working in an environment where not every policy is specifically defined yet and not every process is fully designed, which means real opportunity to shape how the program grows, not just maintain what's already there.

Requirements

3–8 years of compliance experience at an SEC-registered RIA (depending upon role)
Working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations in a planning and fee-billing context
Experience with compliance testing, monitoring, and regulatory filings
Comfort with compliance technology platforms (Orion, Hadrius, ComplySci, RedOak, or similar) and systems like CRD, EDGAR, and IAPD
Ability to work independently, manage competing priorities, and make good judgment calls without a playbook for every situation
A proactive, solutions-oriented approach
Approaches advisor interactions as a partner, not a gatekeeper; comfortable on calls and in the weeds with advisors on real issues
Legally authorized to live and work in the United States without present or future need for sponsorship.

Nice To Haves

Experience at multi-advisor firms or planning-first RIAs
Familiarity with TAMP structures and third-party platform oversight
Experience at a growing firm or startup environment
Professional designations: IACCP, CSCP, or similar
JD or legal background (useful, not required)

Responsibilities

Serve as a day-to-day partner of the compliance team, developing the depth and familiarity with our program to handle the majority of situations, and substitute during absences or continuity events.
Help maintain the Compliance Manual, BCP, and overall policies for the firm, able to answer to a standard where you could run many operations independently if needed.
Execute and document ongoing compliance testing, including fee billing audits across our subscription, flat-fee, and AUM structures.
Contribute to the annual Rule 206(4)-7 review process, identify gaps, and drive improvements.
Review financial planning engagements and fee-for-service arrangements to ensure deliverables meet contractual obligations and regulatory standards.
Participate in and lead some of the compliance side of onboarding new advisors, including filings and training.
Deliver training materials and handle some day-to-day guidance to advisors and staff; serve as the first-line of contact for compliance questions from a broad advisor base.
Edit, recommend, and amend compliance policies as needed, by applying existing principles to new situations as they arise. Be flexible as some policies we're still building; you'll be part of that building process.
Monitor TAMP operations, conduct compliance due diligence on strategies and sub-advisers, and document vendor reviews.
Support Form ADV preparation (annual and interim), maintain required books and records, and assist with other regulatory filings (U4 updates, CRD/EDGAR submissions).
Serve as a compliance resource for advisor questions — comfortable getting on a call and working through issues in real time, not just via email.
Administer personal trading monitoring and employee certifications.
Help oversee Code of Ethics compliance.
Help ensure the firm’s audit-readiness. Assist in coordinating document requests and responses during SEC examinations.
Be able to review marketing materials and advisor communications for compliance with Rule 206(4)-1 as needed.

Benefits

100%- employer-funded Employee Stock Ownership Plan (ESOP)
Unlimited vacation days
9 paid holidays (flexible holidays)
401(k) with match
12 weeks paid parental leave
Health insurance w/ employer contribution
Dental, Vision, Voluntary Life and AD&D, and Accident insurance options
Pet insurance availability
Health Savings & Flex Spending (Health, Limited & Dependent Care) Accounts available
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 through our internal child care program. (Subject to availability)
Various Gym discounts
Company-owned laptop computer provided (Apple Products).