Compliance Analyst at Facet Wealth

Location:  US Locations Only; 100% Remote

Facet is a fully remote FinTech company with a mission to empower people to live more enriched lives by delivering a new standard of financial advice that elevates expectations across consumers and the industry.

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.

The Role:

As a Compliance Analyst at Facet, you will work daily with the entire Facet team to ensure that we continue to build an environment where issues are handled with integrity, do what is in the best interest of our clients, and ensure that we are in compliance with all regulatory requirements.  We work in a fast paced environment and we’re trying to disrupt the industry, so your work will be critical in supporting the solutions we need to find for our clients.

Day-To-Day Responsibilities:

  • You are a daily resource to the team on compliance questions and issues and work with the team on ongoing needs and challenges
  • You will work on critical compliance responsibilities such as IAR registrations, regulatory filings, policies and procedures, client agreements, code of ethics and so much more that is critical to our compliance program
  • You will partner with key stakeholders such as planning, sales, marketing and investments to support their business plans and fill compliance needs in a proactive and forward thinking manner.
  • You will support the onboarding of new employees into our compliance program.
  • You are a key point of contact in resolving client problems and issues so we can quickly manage any situation to do what is best for our clients.
  • You will work with key partners and vendors who support and provide services for our daily compliance program.

Basic Qualifications:

  • 3+ years of compliance experience with a Registered Investment Advisor

Preferred Qualifications:

  • 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 experience supporting compliance requirements for investment management solutions.
  • 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’ve demonstrated the ability  to work independently as well as a member of a team, balance multiple responsibilities and demonstrate proficiency in managing priorities with partners

Perks & Benefits: 

  • $50,000 – $100,000 annual 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
  • Unlimited 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

Equal Opportunity Employer

We’ve consciously built an equitable and inclusive culture where everyone is welcome to bring their authentic selves to work. At Facet Wealth, we specifically look for individuals of varying strengths, skills, backgrounds, and ideas. We believe this gives us a competitive advantage to better serve our clients and employees.

All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.

Location: US Locations Only