Compliance Associate

About XYPN

XY Investment Solutions, LLC, operating as XYPN Sapphire, is an SEC-registered investment advisory firm that offers two primary service models: a TAMP/sub-advisory platform and a corporate RIA affiliation model. This setup allows fee-only advisors to operate under XYPN's RIA umbrella while receiving compliance, investment, and operational assistance to focus on client services.

Role Overview

The Compliance Associate will support daily activities related to Sapphire’s compliance program. Responsibilities include reviewing advisor communications and advertising, monitoring compliance, performing branch examinations, handling regulatory documentation, providing advisor assistance, and engaging in various special projects.

This position is designed for early-career professionals aiming to build a comprehensive understanding of SEC-registered RIA operations. While advertising and communications review will be a major focus during the first year, the role encompasses broader compliance functions such as regulatory filing, policy interpretation, examinations, operational risk management, and enhancing the compliance program.

The associate will collaborate closely with the Chief Compliance Officer and other team members. As experience grows, the associate will assume increased responsibility for routine reviews and compliance tasks, developing the judgment to assess risks, offer practical advice, and escalate issues when necessary.

Location & Hiring Priority

While applications from across the United States are welcome, preference will be given to candidates residing in AZ, CA, CO, FL, GA, IL, MI, MN, MT, NC, TX, and UT.

Key Duties

• Evaluate advisor marketing materials—including websites, blogs, newsletters, emails, social media, and videos—for compliance with SEC rules and internal policies.
• Document and communicate necessary revisions constructively, referring complex or high-risk materials for additional review.
• Conduct routine compliance testing, monitoring, internal audits, and assist with advisor branch examinations and supervisory reviews.
• Review client files, trade records, financial plans, correspondence, and other required documents to identify compliance issues.
• Track findings and ensure timely resolution of compliance concerns.
• Serve as the initial contact for routine advisor compliance inquiries, escalating complex or sensitive matters appropriately.
• Research policies and regulatory requirements to provide clear, practical guidance to advisors.
• Maintain compliance records and assist with regulatory filings, disclosures, and policy updates.
• Support responses to SEC examinations and internal reviews, keeping compliance files organized and complete.
• Utilize compliance technology and recordkeeping systems effectively.
• Contribute to updating internal procedures, advisor guidance, templates, and training materials.
• Participate in projects to enhance compliance processes, technology, documentation, and overall efficiency.
• Research regulatory changes and emerging compliance issues, partnering with affiliated consulting teams when needed.

Additional Information

Work Schedule: Full-time, 40–45 hours per week with flexible scheduling.
Remote Work: Fully remote or based in Bozeman, MT.
Overtime: Eligible for overtime pay (non-exempt status).
Travel: Up to 10% annually (approximately 2-3 weeks) for team events and retreats.
Reporting: Reports to the Chief Compliance Officer.
Start Date: Immediate.
Direct Reports: None.

Qualifications

• Bachelor’s degree or equivalent professional experience.
• Strong analytical and problem-solving capabilities.
• Excellent written communication and editing skills.
• Exceptional attention to detail, organizational skills, and ability to follow through on tasks.
• Ability to manage multiple priorities and meet strict deadlines.
• Comfort with learning and applying complex regulations consistently.
• Strong interpersonal communication skills to professionally interact with advisors.
• Curiosity and willingness to explore unfamiliar regulatory and operational topics.
• Sound judgment to identify when escalation is necessary.
• Legal authorization to live and work in the U.S. without sponsorship requirements.

Preferred Attributes

• Experience in financial services or compliance roles.
• Background as a compliance professional, financial advisor, advisor assistant, operations associate, or client service associate.
• Familiarity with SEC-registered investment advisers and regulated marketing reviews.
• Experience supporting branch exams, regulatory audits, or quality assurance.
• Proficiency in editing technical or regulated documents.
• Knowledge of compliance workflow, recordkeeping, or management technology.
• Series 65 or other relevant licenses, or willingness to obtain them.
• Interest in establishing a long-term compliance career in investment advisory.

Company Culture & Diversity

XYPN encourages applications from individuals with diverse backgrounds, including those who have taken nontraditional career paths or family-related breaks. The company embraces equality and diversity, welcoming minorities, women, people with disabilities, protected veterans, and all qualified candidates.

Compensation & Benefits

• Annual salary range: $53,000 to $63,500.
• All employees participate in a 100% employer-funded Employee Stock Ownership Plan (ESOP).
• Unlimited vacation policy promoting work-life balance (minimum three weeks vacation required annually).
• Nine paid holidays with flexible scheduling.
• 401(k) retirement plan with 6% employee contribution matched by 4.5% employer contribution.
• 12 weeks of paid parental leave for childbirth or adoption.
• Employer-supported health insurance contributions.
• Dental, vision, voluntary life, accidental death and dismemberment (AD&D), and accident insurance options.
• Pet insurance availability.
• Health Savings and Flexible Spending Accounts.
• Employer-paid life and AD&D insurance.
• Employer-paid long-term disability insurance.
• Up to $150 monthly reimbursement for financial planning services plus up to $500 toward the initial fee.
• $2,000 per year allocated for professional development (prorated by start date).
• $250 quarterly allowance to support personal well-being under the core value "Be Well Being You."
• $500 charitable donation to a nonprofit of choice when volunteering 40 hours annually.
• Sabbatical program with cash bonuses and time off at 5, 10, and 15 years of service.
• Subsidized childcare through the company's internal program (based on availability).
• Various gym membership discounts.
• Company-provided Apple laptop computer.

Equal Opportunity

XYPN values and celebrates diversity as a critical strength of its team, committing to creating an inclusive environment where differences are embraced and supported.