Compliance Analyst

Facet was founded in 2016 on the belief that objective, personalized financial advice is essential to living well. Our mission is to empower people to live more enriched lives by delivering a new standard of advice. By removing asset minimums, we provide holistic planning that goes far beyond investments to address every way money impacts life. Our team of CFP® professionals are at the core of our service and are empowered by our best-in-class support teams and proprietary technology platform. This model allows Facet to integrate advice into our members’ entire financial picture—all for an affordable, flat membership fee. Our commitment to innovation and member success has earned national recognition, including being ranked the #1 Best Financial Advisory Firm 2025 by USA TODAY and named to Newsweek’s list of America’s Top Financial Advisory Firms 2025. With an A+ BBB Rating and a Trustpilot “Excellent” score (as of Sept. 16, 2025)*, we are proud to be redefining the industry for our members and our team alike. Why Join the Facet Compliance Team? At Facet, Compliance isn’t the department of "no"; we are all about the "how". You will work in lockstep with Marketing, Sales, Product, and Planning to find compliant paths for ideas the rest of the industry hasn't touched. You will play a key role in every member's success by ensuring our advice remains objective and our processes stay seamless. You’ll equip our teams to deliver life-changing advice in a safe way. Because of our unique flat-fee model and tech-first approach, you won't be stuck in a silo. You’ll wear many hats, from resolving member issues to reviewing AI-driven tools for our planning engine. We are building the "Next Great Financial Services Company". You’ll help design systems for a flat-fee model that we believe is the future of the entire industry. You will help us write the playbook for a new era of financial advice. Requirements Responsibilities Partner directly with business units to support creative marketing campaigns, product development, and new member capabilities. Act as a daily resource for the team, finding compliant ways to deliver creative messages to our intended audience. Support critical day-to-day responsibilities including IAR registrations, communication reviews, OBA’s, and regulatory filings (ADV’s). Proactively build policies and procedures that meet the needs of a company doubling its growth and transitioning toward best-in-class subscription metrics. Act as a key point of contact for member issues to ensure we always do what is best for the 16,000+ members we serve. Required Skills & Experience 5+ years of compliance experience with a Registered Investment Advisor. A desire to understand a tech-first, flat-fee model and support it with compliance expertise. Proven ability to provide balanced, compliant solutions to meet the needs of different stakeholders rather than simply citing rules. Comfortable working with proprietary tech and AI-driven tools. Superb organizational skills and the ability to provide constructive feedback to help enhance our offering. Ability to thrive in a nimble, fast-paced environment where no two days look exactly the same. Benefits Competitive Compensation: $100,000 - $120,000 base salary + bonus. Ownership: Equity in a rapidly growing company on the path to becoming the "Next Great Financial Services Company". Flexibility: Remote-first culture—work from anywhere in the U.S.. Time Off: Flexible Paid Time Off (PTO). Comprehensive Benefits and Perks: Medical, dental, vision, 401(k) match, disability, paid parental leave, wellness reimbursement, and education reimbursement programs. *Facet was ranked #1 Best Financial Advisory Firm 2025 by USA TODAY in April 2025 who partnered with Statista to rank the top 500 RIAs. Recommendations were collected via an independent survey among over 30,000 individuals. self-recommendations were prohibited, and no compensation was provided for the ranking. Facet has been Accredited with the Better Business Bureau® since June 2025, and as of February 2026 holds an A+ BBB Rating. This Accreditation does not imply BBB approval or endorsement. Plant-A Insights Group and Newsweek partnered to identify America's Top Financial Advisory Firms 2025. This analysis was performed with data as of September 2024 and reviewed over 15,000 financial advisories registered with the SEC. These rankings prepared by Plant-A reflect editorial content and no compensation was provided by Facet in connection with America's Top Financial Advisory Firms 2025." As of February 25, 2026; Facet has a 4.8 star rating with TrustPilot.com. TrustPilot uses a formula for calculation that considers three factors: time span, frequency, and Bayesian average. After the calculation, a TrustScore is then visualized into a star rating from 1 to 5 stars, including half stars. Facet’s star rating is calculated from reviews from January of 2022 to present day. Daily star rating may fluctuate. Companies on Trustpilot aren't allowed to offer incentives or pay to hide reviews and Facet has not made any payments in offer or receipt of any reviews. Please see additional information