Facet

Compliance Analyst

Facet • $100K — $120K *
US-AnywhereRemote in United States
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5+ years of compliance experience with a Registered Investment Advisor.
  • Desire to understand a tech-first, flat-fee model.
  • Proven ability to provide balanced, compliant solutions across various stakeholder needs.
  • Comfortable using proprietary tech and AI-driven tools.
  • Superb organizational skills for constructive feedback.
  • Ability to thrive in a fast-paced, dynamic environment.

Responsibilities

  • Partner directly with business units for marketing campaigns and product development.
  • Act as a daily resource, delivering compliant creative messages efficiently.
  • Support day-to-day tasks including regulatory filings and communication reviews.
  • Proactively create policies and procedures for a growing company.
  • Serve as a key contact for member issues, focusing on member satisfaction.

Benefits

  • Ownership: Equity in a rapidly growing company.
  • Flexibility: Remote-first work culture across the U.S.
  • Time Off: Flexible Paid Time Off (PTO).
  • Comprehensive benefits including medical, dental, vision, and 401(k) match.
  • Additional perks like paid parental leave and wellness reimbursement.
Full Job Description
Requirements

Responsibilities
  • Partner directly with business units to support creative marketing campaigns, product development, and new member capabilities.
  • Act as a daily resource for the team, finding compliant ways to deliver creative messages to our intended audience.
  • Support critical day-to-day responsibilities including IAR registrations, communication reviews, OBA's, and regulatory filings (ADV's).
  • Proactively build policies and procedures that meet the needs of a company doubling its growth and transitioning toward best-in-class subscription metrics.
  • Act as a key point of contact for member issues to ensure we always do what is best for the 16,000+ members we serve.


Required Skills & Experience
  • 5+ years of compliance experience with a Registered Investment Advisor.
  • A desire to understand a tech-first, flat-fee model and support it with compliance expertise.
  • Proven ability to provide balanced, compliant solutions to meet the needs of different stakeholders rather than simply citing rules.
  • Comfortable working with proprietary tech and AI-driven tools.
  • Superb organizational skills and the ability to provide constructive feedback to help enhance our offering.
  • Ability to thrive in a nimble, fast-paced environment where no two days look exactly the same.

Benefits
  • Competitive Compensation: $100,000 - $120,000 base salary + bonus.
  • Ownership: Equity in a rapidly growing company on the path to becoming the "Next Great Financial Services Company".
  • Flexibility: Remote-first culture-work from anywhere in the U.S..
  • Time Off: Flexible Paid Time Off (PTO).
  • Comprehensive Benefits and Perks: Medical, dental, vision, 401(k) match, disability, paid parental leave, wellness reimbursement, and education reimbursement programs.


About Facet

Facet is a technology company that provides a platform for wealth management advisors. The company's platform offers a range of tools and services to help advisors manage their clients' investments, including portfolio management, trading, and reporting. Facet was founded in 2016 and is headquartered in New York City.
Learn more about Facet
Size
51 employees
Industry
Information Technology
* Ladders Estimates

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