Compliance Supervision Specialist

XYPN

115d • $55,000 - $67,000

About The Position

Your primary focus as a Compliance Supervision Specialist on the compliance team will be on communications review and advisor supervision support. You will play a critical role in ensuring regulatory obligations are met by monitoring advisor activity, reviewing client communications and marketing, supporting branch exams and reviews, and documenting ongoing findings and processes. This role is designed as a specialist entry point into compliance. It is ideal for someone early in their compliance career who is detail-oriented, organized, and eager to learn. You’ll work closely with the Chief Compliance Officer, supervising and documenting the routine activities while gaining exposure to broader compliance responsibilities. Over time, this position may expand into a more generalist role with deeper responsibility in advisor oversight and compliance program management.

Requirements

• 1–3 years of experience in compliance, marketing/communications review, or financial services.
• Bachelor’s degree in business, finance, law, or a quantitative or inquisitive field or relevant experience.
• Familiarity with SEC investment adviser regulations strongly preferred.
• Strong written communication skills; able to provide clear, constructive compliance feedback.
• Exceptional attention to detail, organization, and follow-through.
• A proactive, team-oriented attitude with a willingness to learn and grow.
• Commitment to learning and insatiable curiosity.
• Legally authorized to live and work in the United States without present or future need for sponsorship.

Nice To Haves

• Prior experience with communications supervision or advertising/marketing review at an RIA.
• Experience with Hadrius.
• Experience supporting branch exams or regulatory audits.
• Experience designing and implementing automated workflows for process management.
• Comfort working directly with financial advisors and providing compliance guidance.
• Demonstrated interest in pursuing a long-term compliance career (e.g., IACCP® coursework, JD in progress, etc.).

Responsibilities

• Conduct daily/weekly reviews of advisor communications (emails, newsletters, websites, social media posts, blogs, podcasts) to ensure compliance with SEC regulations and firm policies.
• Become an expert in navigating our compliance management system, Hadrius.
• Conduct first-level reviews of advisor advertising and marketing materials, particularly during onboarding or when advisors launch new initiatives.
• Escalate higher-risk or ambiguous communications to the Chief Compliance Officer for further review.
• Monitor trends to inform advisor training opportunities.
• Assist with planning, preparation, and execution of advisor practice exams.
• Gather and review documentation from advisors, including client files, trade records, and financial plans, for supervisory purposes.
• Draft exam summaries and monitor follow-up items to ensure timely resolution.
• Conduct low-risk or follow-up reviews independently under the direction of the CCO.
• Serve as a first-line responder for advisor compliance questions, addressing straightforward inquiries and routing complex matters to the CCO.
• Provide timely, well-documented guidance to reduce unnecessary interruptions and escalations.
• Maintain and organize the compliance inbox, ensuring requests are tracked, prioritized, and resolved.
• Draft guides and alerts for advisors regarding best practices as trends in supervision are observed.
• Update existing advisor and staff guides to align with new processes when procedures change or new policies are implemented.
• Create and review process documentation to aid in long-term optimization and efficiency improvement.
• Conduct research on regulatory questions, technology questions, or emerging issues as assigned by the CCO.
• Summarize findings clearly and provide recommendations for firm application.
• Participate in compliance-related projects and process improvement initiatives as needed.

Benefits

• Salary: $55,000 - $67,000/ Annually
• 100%- employer-funded Employee Stock Ownership Plan (ESOP).
• Unlimited vacation days to maintain work-life harmony (minimum of 3 weeks of vacation per year).
• 9 paid holidays (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 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 to cover the cost of working with a financial planner.
• $2000/year for professional development.
• $250/quarter for personal wellness.
• $500 donation to a non-profit organization of your choice for volunteering 40 hours within the calendar year.
• Sabbatical program with cash bonus and extra time off at 5, 10, and 15 years.
• Subsidized employer-sponsored childcare (subject to availability).
• Various Gym discounts.
• Company-owned laptop computer provided (Apple Products).

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Bachelor's degree
• Number of Employees: 101-250 employees