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Compliance Specialist

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XY Planning Network

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Location:
United States , Bozeman

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Category:
Finance

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Contract Type:
Not provided

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Salary:

55000.00 - 67600.00 USD / Year
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Job Description:

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.

Job Responsibility:

  • 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

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 have:

  • 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
What we offer:
  • 100%- employer-funded Employee Stock Ownership Plan (ESOP)
  • Unlimited vacation days (minimum of 3 weeks per year)
  • 9 paid holidays
  • 401(k) with match (employee 6%, employer 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) for professional development
  • $250/quarter to spend on yourself
  • $500 donated to a non-profit organization of your choice when you volunteer 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 through internal child care program
  • Various Gym discounts
  • Company-owned laptop computer provided (Apple Products)

Additional Information:

Job Posted:
March 02, 2026

Employment Type:
Fulltime
Work Type:
Remote work
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