AdvisorLaw Careers

AdvisorLaw Careers

 

Interested in joining our team?

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 prevent FINRA fines, suspensions, license revocations, and more.​ The RIA division supports registered investment advisor firms in securing registration, developing compliance procedures, and monitoring and testing these procedures for effectiveness.

AdvisorLaw is a fast-growing company seeking individuals who enjoy doing impactful work in a relaxed business environment.​ Take a look at our current openings listed below.

SENIOR COMPLIANCE ANALYST

REPORTS TO:  Vice President of RIA Operations (Michelle Atlas-Quinn)
SUPERVISORY RESPONSIBILITY: N/A 
POSITION TYPE: Salary, Exempt
LOCATION: Remote

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 Senior Compliance Analyst will be responsible for assisting our clients in understanding and complying with Securities industry rules, regulations, and laws. The Senior Compliance Analyst will be able to communicate how these rules, laws, and regulations can be built into client firm policies and procedures. The Senior 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. The Senior Compliance Analyst is a compliance consultant in this industry and will be asked to act as Chief Compliance Officer for Registered Investment Advisor firm clients of AdvisorLaw. 

ESSENTIAL FUNCTIONS:

  • Update regulatory filings
  • Review email and advertising communications for compliance with state and federal regulations
  • Prepare and review compliance manuals and other investment adviser documentation
  • Direct ongoing reviews of investment adviser activities 
  • Regularly communicate with clients regarding regulatory obligations and deadlines
  • Monitor client firm’s trading and billing in customer accounts
  • Provide supervision to client firms and their employees

QUALIFICATIONS & SKILLS: 

  • Must have a bachelor’s degree or equivalent experience. 
  • 10+ years’ experience in Financial Services (working for a BD, an RIA, a Product company, or a Regulator) 
  • Preferred: previously obtained Series 6, 7, 63, 65, or 66 
  • Excellent written and verbal communication skills, with demonstrated ability to articulate relevant information concisely.
  • Strong attention to detail, organizational, and time management skills.
  • High level of integrity, and 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 in a fast-paced work environment
  • Flex-time between 6 am and 6 pm MST, Monday through Friday

PHYSICAL DEMANDS

  • Mobility among workstations.
  • Lifting office supplies and setting up workstations (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 9 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).

Salary Range: $75k-$85K base salary plus regular revenue sharing and bonuses. Expected full compensation range $100k-$125K.

This job description will be reviewed periodically as duties and responsibilities change with the business’s needs. Essential and marginal job functions are subject to modification at any time with or without notice.

The application deadline for this position is May 1, 2024.

Please send all applications to Kerry Foster (kerry@advisorlawyer.com). 

​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.