Compliance Analyst

Facet is a fast-growing fintech company revolutionizing personal finance. We’re building a future where everyone may enrich their lives beyond expectation through our powerful combination of cutting-edge technology and personalized guidance.

We believe that unbiased, personalized financial advice that integrates into every facet of life is essential to living well. People’s financial lives are dynamic and ever-evolving, so we cover everything money touches–from starting a business to buying real estate to your investments and much more. Facet believes financial advice should be delivered with a fresh, human-plus-tech approach, that includes a CFP® professional–the highest certification possible.

As a Compliance Analyst, you will work with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our members, and ensure we are in compliance with regulatory requirements. Your work will be critical in supporting the solutions we need to find for our members as we disrupt the industry. 

Responsibilities:

• Support all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA’s and more.
• Partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs. This could include marketing programs, product development, planning recommendations and introducing new member capabilities. 
• Act as a daily resource to the team on compliance questions and issues, and work with the team on ongoing needs and challenges. 
• Act as a key point of contact in supporting member issues so we can quickly manage any situation to do what is best for our members. 
• Support our ongoing regulatory filings (ADV’s are important) and member agreements. 
• Work with compliance partners and other outside resources we use to ensure we always have an up to date and forward looking  program, and solve critical problems. 
• Support the onboarding of all new hires into our compliance program. 
• Proactively build out policies and procedures that meet the changing needs of our growing business.

Preferred Skills & Experience:

• 5+ years of compliance experience with a Registered Investment Advisor
• You are willing to learn the Facet Way and understand how to support it with compliance expertise. 
• You have experience in working with marketing and advertising, and have shown an ability to support teams with compliant solutions to deliver the firm’s message. 
• You have experience in working in operations, with custodians and understand the basics of trading.
• You have shown an ability for creative problem solving to come up with balanced solutions to meet the needs of different stakeholders. 
• You have experience with audits or in doing risk assessments. 
• You have superb communication, organizational and client service skills. 
• You have excellent computer skills along with the ability to learn in-house software and tools 
• You have the ability to provide constructive feedback: we continue to enhance our offering and rely on our team’s feedback for improvement 
• You are able to work independently and as a member of a team, balance multiple responsibilities simultaneously, and demonstrate exceptional time and calendar management skills

• $100,000 - $120,000 base salary + bonus determined by the experience, knowledge, skills, and abilities of the applicant - Please note, our salary ranges are based on current market data. Should you feel strongly that we are not in line, we highly recommend you to reach out and let us know. We are always looking to improve on building the best place for employees.

• Equity (ISO) 
• Flexible PTO
• All the benefits: medical, dental, and vision insurance, 401(k) with employer match, short and long term disability coverage (paid by Facet), life insurance options and paid parental leave
• Certification reimbursement program 
• Work from anywhere in the US