XYPN logo
XYPN

XYPN makes it possible for fee-for-service financial advisors to build the firm of their dreams with complete autonomy.

Compliance Associate

Location

Arizona + 10 moreAll locations: Arizona | California | Colorado | Florida | Illinois | Montana | North Carolina | Michigan | Minnesota | Texas | Utah

Posted

7 days ago

Salary

$53K - $63.5K / year

Seniority

Mid Level

Bachelor DegreeEnglish

Job Description

Compliance Associate

XYPN

• Review advisor websites, blogs, newsletters, emails, social media, and other marketing materials for compliance with SEC rules and firm policies • Conduct routine compliance testing, monitoring, and internal audits • Serve as a first point of contact for routine advisor compliance questions • Maintain required compliance records and documentation • Help develop and update internal procedures, advisor guidance, and training materials • Participate in projects that improve compliance processes, technology, and documentation

Job Requirements

  • Bachelor’s degree or equivalent professional experience
  • Strong analytical and problem-solving skills
  • Excellent written communication and editing ability
  • Exceptional attention to detail, organization, and follow-through
  • Ability to balance multiple priorities, reviews, and deadlines
  • Comfort learning complex regulations and applying them consistently
  • Strong interpersonal skills and the ability to communicate professionally with advisors
  • Intellectual curiosity and willingness to investigate unfamiliar regulatory and operational questions
  • Sound judgment and ability to recognize when an issue should be escalated
  • Legally authorized to live and work in the U.S. without present or future need for sponsorship

Benefits

  • 100%- employer-funded Employee Stock Ownership Plan (ESOP)
  • Unlimited vacation days to maintain work-life harmony (minimum of 3 weeks required)
  • 9 paid holidays (flexible holidays)
  • 401(k) with match (6% input and 4.5% match)
  • 12 weeks paid parental leave for birth or adoption
  • Health insurance with employer contribution
  • Dental, Vision, Voluntary Life and AD&D, and Accident insurance options
  • Pet insurance availability
  • Health Savings & Flex Spending Accounts available
  • Employer-paid Life and AD&D insurance
  • Employer-paid Long Term Disability coverage
  • Up to $150/month for financial planner fees
  • $2000/year for professional development (prorated by start date)
  • $250/quarter wellness spending
  • $500 donation to a non-profit of choice when volunteering 40 hours/year
  • Sabbatical program with cash bonus and extra time off at 5, 10, and 15 years
  • Subsidized employer-sponsored childcare through the internal child care program (subject to availability)
  • Various gym discounts
  • Company-owned laptop computer provided (Apple Products)

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