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Compliance Generalist

United States Employment contract 72000.00 - 93600.00 USD / Year · Job Posted May 05, 2026
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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

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