Compliance Analyst

Headquartered in Broomfield, Colorado, AdvisorLaw provides nationwide representation to hundreds of financial advisors and wealth managers. We only advocate on behalf of the interests of the advisors – never for the investor or broker dealer. The majority of our clients are motivated to call us to handle the reporting or removal of customer dispute disclosures, allegations after separation language for compliance, increased book valuation, recruiting reasons or to avoid FINRA fines, suspensions, license revocations, and more.

AdvisorLaw is a fast-growing company seeking individuals who enjoy doing impactful work remotely in a relaxed business environment.

AdvisorLaw is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability, protected veteran status or any other status protected by applicable law.

POSITION SUMMARY:

The Compliance Analyst will be responsible for learning Securities industry rules, regulations, and laws. The Compliance Analyst will be able to communicate how these rules, laws, and regulations can be built into client firm policies and procedures. The Compliance Analyst will also be able to discuss with clients how rules, laws, and regulations may impact a client’s specific investment advisory firm and help clients determine the best path forward for their businesses. Essentially, the fully trained Compliance Analyst is a compliance consultant in the financial services industry.

ESSENTIAL FUNCTIONS:

· Update regulatory filings

· Review email and advertising communications for compliance with state and federal regulations

· Assist in preparation and review of compliance manuals and other investment adviser documentation

· Participate in ongoing reviews of investment adviser activities

· Participate in communications with clients regarding regulatory obligations and deadlines

· Provide team support to attorneys

QUALIFICATIONS & SKILLS:

· Must have a Bachelor’s Degree.

· 1-3 years’ experience in Financial Services (working for a BD, an RIA, a Product company, or a Regulator)

· Preferred Series 6, 7, 24, 63, 65, or 66 for 1-3 years’ time.

· Excellent written and verbal communication skills, with demonstrated ability to articulate relevant information in a concise manner.

· Strong attention to detail, organizations, and time management skills.

· High level of integrity, respect for confidential and sensitive information.

· Demonstrated ability to work independently with minimal supervision.

· Self-starter, proactive, creative thinker, problem solver, positive attitude.

CULTURE/ENVIRONMENT:

· Casual, fun, drama-free work environment.

· Frequent computer work at a fast pace in a normal office environment.

· Flex-time between 6 am and 6 pm, Monday through Friday

· Remote Work

· Some in person meetings required

PHYSICAL DEMANDS

· Mobility among workstations.

· Lifting office supplies and setting up work stations (if necessary).

· ADA: AdvisorLaw will make reasonable accommodations in compliance with the Americans with Disabilities Act of 1990.

BENEFITS & PERKS

· Discretionary performance bonuses

· 15 days PTO per calendar year plus 10 Market Holidays.

· Health insurance options including supplementary benefits and HSA/FSA options.

· Flexible work hours.

· No cost gym membership.

· 401(k) Retirement Savings & Employer Match (eligibility after 1 year of employment).

The application deadline for this position is May 9th, 2025.

Job Type: Full-time

Pay: From $50,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible schedule
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Application Question(s):

• Do you have the Series 6, 7, 24, 63, 65, or 66?

Experience:

• relevant: 1 year (Preferred)

Work Location: Hybrid remote in Broomfield, CO 80021

Salary : $50,000