CrawlJobs Logo

Compliance Generalist

xyplanningnetwork.com Logo

XY Planning Network

Location Icon

Location:
United States

Category Icon
Category:
Legal

Job Type Icon

Contract Type:
Employment contract

Salary Icon

Salary:

72000.00 - 93600.00 USD / Year
Save Job
Save Icon
Apply Position

Job Description:

We're looking for a Compliance Generalist to work closely with our compliance team and CCO as a 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.

Job Responsibility:

  • Serve as a day-to-day partner of the compliance team
  • Help maintain the Compliance Manual, BCP, and overall policies for the firm
  • 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
  • Edit, recommend, and amend compliance policies as needed
  • 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
  • Serve as a compliance resource for advisor questions
  • Administer personal trading monitoring and employee certifications
  • Help oversee Code of Ethics compliance
  • Help ensure the firm's audit-readiness
  • Be able to review marketing materials and advisor communications for compliance with Rule 206(4)-1 as needed

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 have:

  • 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
What we offer:
  • 100%- employer-funded Employee Stock Ownership Plan (ESOP)
  • Unlimited vacation days (minimum 3 weeks required)
  • 9 paid holidays
  • 401(k) with match (6% employee, 4.5% employer)
  • 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 accounts available
  • Employer-paid Life and AD&D insurance
  • Employer-paid Long Term Disability coverage
  • Up to $150/month for financial planner, plus up to $500 toward upfront fee
  • $2000/year for professional development
  • $250/quarter for wellness
  • $500 donated to non-profit when volunteering 40 hours
  • Sabbatical program
  • Subsidized employer-sponsored childcare
  • Gym discounts
  • Company-owned laptop

Additional Information:

Job Posted:
May 05, 2026

Employment Type:
Fulltime
Work Type:
Remote work
Icon
XY Planning Network - All Job Offers
Job Link Share:
Copy Link Icon
Facebook Icon Twitter Icon LinkedIn Icon

Looking for more opportunities? Search for other job offers that match your skills and interests.

Briefcase Icon

Similar Jobs for Compliance Generalist

HR Generalist

We are looking for an experienced HR Generalist to join our team on a contract b...
Location
Location
United States , Queens
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • At least 2 years of experience in an HR Generalist role or a related HR position
  • Proficiency in ADP Workforce Now and other HR-related software tools
  • Familiarity with HRMS platforms, payroll systems, and benefits administration
  • Strong knowledge of compliance standards and employee relations practices
  • Demonstrated ability to manage multiple tasks and prioritize effectively
  • Excellent communication and interpersonal skills
  • Ability to work independently and collaboratively in a fast-paced environment
  • Experience with Ceridian or similar payroll systems is a plus
Job Responsibility
Job Responsibility
  • Update and maintain employee records, ensuring accuracy and compliance with company policies
  • Prepare personnel reports and analyze data to support HR decision-making
  • Process time-off requests, track absences, and manage leave documentation
  • Assist in onboarding new hires and coordinating offboarding procedures for departing employees
  • Provide support for payroll activities, including tracking time management and resolving missed punches
  • Collaborate with management to ensure adherence to HR compliance standards
  • Administer employee benefits and compensation programs, ensuring smooth operations
  • Address employee relations matters and provide guidance on HR policies
  • Utilize HRMS and related systems to streamline HR operations and reporting
  • Contribute to initiatives aimed at enhancing workplace culture and employee satisfaction
What we offer
What we offer
  • medical insurance
  • vision insurance
  • dental insurance
  • life and disability insurance
  • 401(k) plan
  • Fulltime
Read More
Arrow Right

HR Generalist

We are seeking a dedicated HR Generalist to become a part of our Agriculture tea...
Location
Location
United States , Kingsburg
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Possess a minimum of 3 years experience in the role of HR Generalist or similar position
  • Proficient in managing Benefit Functions
  • Excellent Communication skills, both written and verbal
  • Proven experience in Compliance and regulatory matters
  • Demonstrated ability to handle Employee Relations effectively
  • Must be well-versed in Human Resources (HR) Administration
  • Experience in Process Payroll is required
  • Preferably have experience in the Agriculture industry
Job Responsibility
Job Responsibility
  • Maintain and update personnel records in an organized manner
  • Prepare essential HR documents such as employment contracts and guides for new hires
  • Respond to HR-related inquiries from employees in a timely and efficient manner
  • Collaborate with external partners, including insurance vendors, to ensure legal compliance
  • Assist with payroll tasks by providing relevant employee information
  • Update internal HR databases, including recording leave details
  • Revise company policies and handbooks as necessary
  • Participate in various HR projects to improve HR functions
  • Process employee expense forms accurately and efficiently
  • Utilize your skills in Benefit Functions, Communication, Compliance, Employee Relations, and HR Administration to enhance our HR processes
What we offer
What we offer
  • medical
  • vision
  • dental
  • life and disability insurance
  • eligibility to enroll in company 401(k) plan
  • Fulltime
Read More
Arrow Right

Human Resources Generalist

Are you passionate about creating a positive employee experience and driving HR ...
Location
Location
United States , Orlando
Salary
Salary:
Not provided
associaonline.com Logo
Associa
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Positive attitude, solution oriented and self-motivated
  • Emotionally intelligent and objective decision maker
  • Time management and time critical prioritization skills
  • High level of integrity and ability to maintain confidentiality and discretion
  • Tech savvy, proficient with Microsoft Office 365, ADP, mobile devices
  • Strong knowledge of business correspondence (grammar, structure, punctuation, spelling, etc.)
  • Knowledge of Human Resource policies and procedures
  • Expertise in Title VII, FLSA, ADA/ADAAA, FMLA, COBRA and other applicable laws
  • Knowledge of FMLA/leave administration, performance management, unemployment and workers’ compensation, and employee relations
  • Knowledge of OSHA worksite and personal safety requirements
Job Responsibility
Job Responsibility
  • Guide managers in employee relations
  • Administer employee compensation, training and benefit programs
  • Acts as liaison between employee and management to answer questions or concerns regarding company policies, practices and regulations
  • Process, verify and maintain documentation relating to HR activities such as staffing, training and performance evaluations
What we offer
What we offer
  • medical, dental, and vision insurance
  • 401k
  • disability insurance
  • support with wellness and development initiatives
  • Fulltime
Read More
Arrow Right

HR Generalist

HR Generalist role supporting employee lifecycle, ensuring HR practices align wi...
Location
Location
United Kingdom , Brighton
Salary
Salary:
15.38 - 17.94 GBP / Hour
https://www.office-angels.com Logo
Office Angels
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Proven experience as an HR Generalist, ideally within the hospitality sector
  • Strong understanding of employment law and HR best practices
  • Excellent interpersonal and communication skills
  • Ability to build relationships and influence stakeholders at all levels
  • CIPD qualification or equivalent experience
  • Flexible, proactive, and solutions-focused approach
Job Responsibility
Job Responsibility
  • Provide day-to-day HR support to managers and employees across hospitality sites
  • Manage recruitment and onboarding processes, ensuring a smooth candidate experience
  • Advise on employee relations issues, including disciplinary and grievance procedures
  • Support performance management and development initiatives
  • Ensure compliance with employment law and industry-specific regulations
  • Maintain accurate HR records and contribute to HR reporting and analytics
  • Assist with policy development and implementation tailored to hospitality operations
What we offer
What we offer
  • Eye care vouchers and money towards glasses for VDU purposes
  • Weekly pay
  • Pension scheme option (with employer contributions)
  • 28 days paid annual leave
  • Expert interview support and advice
  • Search for permanent work whilst in assignments
  • Parttime
Read More
Arrow Right

HR Generalist

We are presenting an exciting opportunity for an HR Generalist in the legal indu...
Location
Location
United States , Oakland
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum of 5 years of experience in a HR Generalist role
  • Proficient in Benefit Functions
  • Strong Communication skills
  • Proven track record in Compliance
  • Experience in Employee Relations
  • Knowledge of FMLA
  • Expertise in Benefits Coordination
  • Understanding of Compensation & Benefits
  • Familiarity with HR Policy
  • Experience in Human Resources (HR) Administration
Job Responsibility
Job Responsibility
  • Facilitate the recruitment process from end-to-end, covering job postings, candidate screening, interviews, and offer negotiations
  • Implement and oversee a comprehensive onboarding process to integrate new hires effectively into the firm
  • Act as the primary liaison for employee inquiries and concerns, fostering positive relations and resolving conflicts
  • Develop and execute engagement strategies to boost morale and improve retention
  • Administer and manage employee benefits programs, including health insurance, retirement plans, and leave policies
  • Maintain compliance with all relevant labor laws and regulations, and update company policies as needed
  • Support the performance review process and provide guidance to managers on feedback and employee development
  • Identify training needs and coordinate detail oriented development opportunities in line with business goals
  • Oversee payroll processing, ensuring the accurate tracking of time and management of PTO
  • Manage HR systems for maintaining employee records and reporting
What we offer
What we offer
  • medical
  • vision
  • dental
  • life and disability insurance
  • 401(k) plan
  • Fulltime
Read More
Arrow Right

HR Generalist

Contract Role: 3-6 Months - Possibility to extend or be hired full-time. Onsite:...
Location
Location
United States , Antioch
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum of 5 years experience in a HR Generalist role or similar
  • Proficiency in using Dayforce software
  • Demonstrable knowledge of Benefit Functions
  • Strong communication skills, both written and verbal
  • Proven experience in Compliance and Employee Relations
  • Familiarity with FMLA and Benefits Administration
  • Experience in Leave Administration and managing Leaves of Absence
  • Ability to conduct Performance Management
  • Proven experience in Onboarding new employees
  • Must be able to handle Terminations professionally and ethically
Job Responsibility
Job Responsibility
  • Serve as the primary contact for employees, resolving inquiries and promoting a positive work environment
  • Oversee the process of leave of absence and accommodation requests, providing guidance to employees
  • Ensure compliance with labor laws, company policies, and labor regulations, including monitoring workers' compensation
  • Conduct internal investigations, document findings, and collaborate with HR leadership to make disciplinary recommendations
  • Manage the full recruitment cycle for open roles, including posting, sourcing, screening, and interviewing candidates
  • Handle new permanent employee payroll setup and process final payments for terminations
  • Track offboarding of employees and oversee benefits enrollment, including new hires, open enrollment, and life events
  • Collaborate with HR and leadership to identify business needs, enhance efficiency, and support organizational goals
  • Build and maintain relationships with staffing agencies to secure high-quality talent
  • Oversee employee roster reconciliation and onboarding processes, including I-9 verification and HRIS setup
What we offer
What we offer
  • medical, vision, dental, and life and disability insurance
  • eligible to enroll in our company 401(k) plan
  • Fulltime
Read More
Arrow Right

HR Generalist

We are seeking a dedicated HR Generalist to join our team situated in Flint, Mic...
Location
Location
United States , Flint
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum of 3 years of experience in a HR Generalist role or similar
  • Proficient in Benefit Functions, including administration, coordination, and management
  • Excellent Communication skills, both written and verbal
  • Demonstrated experience in Compliance, ensuring company adherence to legal standards and in-house policies
  • Proven track record in managing Employee Relations, including conflict resolution and performance management
  • Familiarity with the Family and Medical Leave Act (FMLA) and its application within a business context
  • Experience in Onboarding new employees, ensuring a smooth transition into the company
  • Expertise in Full Cycle Recruiting, from sourcing to hiring
  • Thorough understanding of Human Resources (HR) Administration, including HR policies, procedures, and systems
Job Responsibility
Job Responsibility
  • Oversee the full-cycle recruitment process, ensuring the selection of suitable candidates
  • Manage onboarding procedures for new hires to ensure a smooth transition into the organization
  • Schedule and conduct one-on-one meetings with employees to address concerns and provide feedback
  • Organize morale-boosting activities to foster a positive work environment
  • Ensure compliance with various regulations, including FMLA and other HR-related laws
  • Maintain confidentiality and handle sensitive information with discretion
  • Provide administrative support for HR-related functions
  • Address employee relations issues, providing guidance and resolution where necessary
  • Contribute to the organization as needed, showing flexibility and adaptability
What we offer
What we offer
  • medical, vision, dental, and life and disability insurance
  • eligible to enroll in our company 401(k) plan
  • Fulltime
Read More
Arrow Right

HR Generalist

We are on the hunt for a dedicated HR Generalist to be a part of our team. Focus...
Location
Location
United States , Washington, District of Columbia
Salary
Salary:
Not provided
https://www.roberthalf.com Logo
Robert Half
Expiration Date
Until further notice
Flip Icon
Requirements
Requirements
  • Minimum of 1 year of experience as an HR Generalist or in a similar role
  • Proficiency in using ADP - Financial Services for HR-related tasks
  • Experience with ADP Workforce Now software is preferred
  • Knowledgeable in Benefit Functions and its related processes
  • Excellent Communication skills, both written and verbal
  • Familiarity with Compliance and legal matters related to HR
  • Experience in managing Employee Relations
  • Understanding and knowledge of FMLA (Family and Medical Leave Act) regulations and procedures
Job Responsibility
Job Responsibility
  • Oversee compliance with all HR-related regulations and guidelines
  • Foster positive employee relations and address any employee concerns or conflicts
  • Utilize ADP Financial Services and ADP Workforce Now systems efficiently
  • Manage various benefit functions and ensure employees are informed about their benefits
  • Handle communication with employees regarding HR-related information
  • Apply your knowledge of FMLA regulations in relevant situations
  • Maintain and update employee records in the HR system
  • Participate in the development and implementation of HR policies and procedures
  • Collaborate with other HR team members on special projects and initiatives
  • Act as a point of contact for HR-related inquiries and provide necessary support
What we offer
What we offer
  • medical, vision, dental, and life and disability insurance
  • eligible to enroll in our company 401(k) plan
  • Fulltime
Read More
Arrow Right