Compliance Specialist

XYPN

13d•$55,000 - $67,600•Onsite

About The Position

As a Compliance Specialist at XYPN, you’ll play a key role in supporting our members as they launch and grow their fee-only Registered Investment Adviser (RIA) firms. You’ll work alongside a team of compliance experts to prepare the core regulatory documents firms need in order to operate in a compliant manner. This role is ideal for someone looking to develop their career in compliance. You’ll receive training and hands-on support, with a clear path toward taking on more responsibility and working directly with independent investment advisors.

Requirements

Interest in building a career in investment advisor compliance.
Experience in administrative, operations, banking, financial services, legal, or support roles.
Strong written and verbal communication skills.
Exceptional attention to detail and consistency in documentation.
Ability to manage multiple projects and deadlines in a structured environment.
Comfort working both independently and in a collaborative, hybrid team setting.
Familiarity with cloud-based tools and eagerness to learn new systems.
Legally authorized to live and work in the United States without present or future need for sponsorship.

Nice To Haves

Exposure to RIA compliance, brokerage operations, or financial planning environments.
Familiarity with the FINRA Firm Gateway and filing workflows in the IARD and CRD systems.
Paralegal, document management, or policy drafting experience.
Familiarity with Teamwork or other project management tools.

Responsibilities

Prepare and file Form ADV Parts 1 and 2A/2B, Form CRS, and Form U4 based on the firm’s services, fee structure, and business model.
Assist in preparing RIA compliance documents including policy manuals and advisory client agreements based on information provided by the firm.
Identify and prepare documentation required for filings in the advisor’s jurisdiction(s) of registration.
Maintain accurate records and status updates in our project management system.
Verify and reconcile compliance documents and procedures to ensure they reflect accurate, consistent, and current firm practices.
Support the annual ADV amendment and renewal processes.
Participate in ongoing training to build regulatory knowledge, document drafting confidence, and advisor support skills.

Benefits

All team members at XYPN are owners! We offer a 100%- employer-funded Employee Stock Ownership Plan (ESOP).
Unlimited vacation days to maintain work-life harmony (we require that you take a minimum of 3 weeks of vacation per year)
9 paid holidays (we offer flexible holidays!)
401(k) with match; you put in 6%, and we put in 4.5%.
12 weeks paid parental leave for the birth or adoption of a child.
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.
A 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).