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Facet · 2 weeks ago

Compliance Analyst

United States

Full-time

Remote

New Grad, Entry Level

Facet is a fast-growing fintech company revolutionizing personal finance. As a Compliance Analyst, you will work with the entire Facet team to ensure compliance with regulatory requirements and support the solutions we need to find for our members.

AdviceFinanceFinancial ServicesWealth Management

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