Compliance Specialist Job at XY Planning Network (Bozeman)

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)

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Compliance Specialist

Job Description

Job Responsibility

Requirements

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What we offer

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