Associate Compliance Analyst

As part of our dedicated compliance team, you’ll work alongside talented colleagues to ensure we operate ethically and responsibly. You’ll directly impact our business by helping to identify and mitigate risks, protect our company’s reputation, and foster a culture of integrity. This role also offers excellent opportunities to learn from experienced professionals and develop valuable skills in a dynamic and growing field.

About the Job: 

As an Associate Compliance Analyst, you will contribute to building a solid foundation for our company’s future. You’ll gain valuable experience in a dynamic environment, learn from experienced professionals, and directly impact our compliance efforts.

Responsibilities:

• Ensure that compliance issues or concerns are appropriately evaluated, investigated, escalated, and resolved in a timely fashion.
• Understand and implement data privacy regulations.
• Assist with ensuring marketing and advertising materials comply with SEC rule 206(4)-1.
• Evaluate advisors who want to join the SmartAsset AMP platform or are currently on it to ensure they meet and continue to meet our standards.
• Assist with internal audits and SEC Rule 206(4)-7 annual compliance review.
• Assist with other duties and projects as assigned.
• Communicate compliance requirements to employees and promote a culture of compliance.

Skills / Experience You Have: 

• Bachelor’s Degree or equivalent experience
• Sound judgment, organizational and analytical skills, and keen attention to detail.
• Very high commitment to accuracy, thoroughness, and polish of work.
• Team player with strong communication skills (verbal and written).
• A strong commitment to ethical behavior and compliance.
• Comfortable in the fast-paced, high-growth environment of a startup.
• Comfortable where there aren’t always clear-cut answers or black-and-white rules, frequently needing to operate in areas of gray.
• Enthusiastic about learning and sharing ideas and strategies to help our company continue to grow.
• Must be proficient with Google Suite

Skills / Experience Preferred:

• Experience with Salesforce is a plus.
• Experience with AI tools like ChatGPT, Microsoft CoPilot, Google Gemini, etc. is a plus.

Physical Requirements:

• Prolonged periods of sitting at a desk and working on a computer
• Must be able to communicate via phone calls and/or video conferences (mainly for concierge and sales roles)

Available Benefits and Perks: 

• All roles at SmartAsset are currently and will remain remote – flexibility to work from anywhere in the Contiguous US.
• Medical, Dental, Vision – multiple packages available based on your individualized needs
• Life/AD&D Insurance – basic coverage at 100% company paid, additional supplemental available
• Supplemental Short-term and Long-term Disability
• FSA: Medical and Dependant Care
• 401K
• Equity packages for each role
• Time Off: Vacation, Sick and Parental Leave
• EAP (Employee Assistance Program)
• Financial Literacy Mentoring Program
• Pet Insurance
• Home Office Stipend