Compliance Supervision Specialist

About XYPNXYPN is the only turnkey advice and planning platform that makes it possible for fee-only financial advisors to build the independent firm of their dreams with complete autonomy. We do this through ongoing advocacy and access to education and training, curated technology, compliance support, community, and back-office and client support services.This is an opportunity to join a company on a mission to help others—and you—live your best lives.Description Of Your TeamXY Investment Solutions, LLC is an SEC-registered investment advisor offering a comprehensive platform for independent, fee-only financial advisors. We offer two service models under the RIA:TAMP: we offer a TAMP service that serves as a sub-adviser to other state- or SEC-registered investment advisors who rely on us for outsourced investment management, trading, and back-office operations.Sapphire: a corporate RIA affiliation model that provides a dedicated support platform for fee-only advisers to register under as IARs, allowing them to focus their energy on serving their clients while we handle the compliance, investment, and many administrative burdens of running a firm while remaining independent.About The RoleYour primary focus as a Compliance Supervision Specialist on the compliance team will be on communications review and advisor supervision support. You will play a critical role in ensuring regulatory obligations are met by monitoring advisor activity, reviewing client communications and marketing, supporting branch exams and reviews, and documenting ongoing findings and processes..This role is designed as a specialist entry point into compliance. It is ideal for someone early in their compliance career who is detail-oriented, organized, and eager to learn. You’ll work closely with the Chief Compliance Officer, supervising and documenting the routine activities while gaining exposure to broader compliance responsibilities. Over time, this position may expand into a more generalist role with deeper responsibility in advisor oversight and compliance program management.Where We Hire: We’re excited to review applications from across the U.S., but we give priority to candidates residing in the following states: AZ, CA, CO, FL, GA, IL, IN, MA, ME, MI, MN, MT, NC, NE, TX, UT, WA and WI.What You'll Be DoingCommunications & Marketing Review: 50–55% of timeConduct daily/weekly reviews of advisor communications (emails, newsletters, websites, social media posts, blogs, podcasts) to ensure compliance with SEC regulations and firm policies.Become an expert in navigating our compliance management system, Hadrius.Conduct first-level reviews of advisor advertising and marketing materials, particularly during onboarding or when advisors launch new initiatives.Escalate higher-risk or ambiguous communications to the Chief Compliance Officer for further review.Monitor trends to inform advisor training opportunities.Branch Exams & Ongoing Supervision: 10–15%Assist with planning, preparation, and execution of advisor practice exams.Gather and review documentation from advisors, including client files, trade records, and financial plans, for supervisory purposes.Draft exam summaries and monitor follow-up items to ensure timely resolution.Conduct low-risk or follow-up reviews independently under the direction of the CCO.Advisor Support & Issue Resolution: 10–15%Serve as a first-line responder for advisor compliance questions, addressing straightforward inquiries and routing complex matters to the CCO.Provide timely, well-documented guidance to reduce unnecessary interruptions and escalations.Maintain and organize the compliance inbox, ensuring requests are tracked, prioritized, and resolved.Process Documentation & Guides: 10-15%As trends in supervision are observed and questions arise, at the direction of the CCO, draft guides and alerts for advisors regarding best practices.When procedures change or new policies are implemented, update existing advisor and staff guides to align with the new processes.Create and review process documentation to aid in long-term optimization and efficiency improvement.Research & Special Projects: 5-10%Conduct research on regulatory questions, technology questions, or emerging issues as assigned by the CCO.Summarize findings clearly and provide recommendations for firm application.Participate in compliance-related projects and process improvement initiatives as needed.MeasurablesTimely review of advisor communications and marketing materials, with the majority completed within established internal turnaround times.Accuracy and quality of compliance reviews, with minimal corrections required.Responsiveness to advisor compliance inquiries, providing clear first-line guidance within service metrics.The DeetsStart Date: ImmediatelyStatus: Full-time (40-45 hours per week with flexible schedule)Location: Remote and/or Bozeman, MTOvertime Status: Non-exempt (i.e., overtime eligible)Team: XY InvestReports To: Chief Compliance OfficerDirect reports: NoneTravel: Up to 10% travel (e.g., 2-3 weeks /year) required for team retreats and other company eventsWhat You'll Bring To The Table(If you think, “I only meet 80% of these qualifications,” still apply!)1–3 years of experience in compliance, marketing/communications review, or financial services.Bachelor’s degree in business, finance, law, or a quantitative or inquisitive field or relevant experience.Familiarity with SEC investment adviser regulations strongly preferred.Strong written communication skills; able to provide clear, constructive compliance feedback.Exceptional attention to detail, organization, and follow-through.A proactive, team-oriented attitude with a willingness to learn and grow.Commitment to learning and insatiable curiosity.Legally authorized to live and work in the United States without present or future need for sponsorship.What Would Make Us DroolPrior experience with communications supervision or advertising/marketing review at an RIA.Experience with Hadrius.Experience supporting branch exams or regulatory audits.Experience designing and implementing automated workflows for process management.Comfort working directly with financial advisors and providing compliance guidance.Demonstrated interest in pursuing a long-term compliance career (e.g., IACCP® coursework, JD in progress, etc.).XYPN welcomes applications from individuals who may have had nontraditional career paths, or who may have taken time off for family reasons (e.g., children, caring for disabled or elderly family). We encourage applications from minorities, women, individuals with disabilities, protected veterans and all other qualified applicants Compensation & BenefitsSalary: $55,000 - $67,000/ AnnuallyAll team members at XYPN are owners! We offer a 100%- employer-funded Employee Stock Ownership Plan (ESOP). Unlimited vacation days to maintain work-life harmony (we require that you take a minimum of 3 weeks of vacation per year)9 paid holidays (we offer flexible holidays!)401(k) with match; you put in 6%, and we put in 4.5%.12 weeks paid parental leave for the birth or adoption of a child.Health insurance w/ employer contribution.Dental, Vision, Voluntary Life and AD&D, and Accident insurance options.Pet insurance availability Health Savings & Flex Spending (Health, Limited & Dependent Care) Accounts availableEmployer-paid Life and AD&D insurance.Employer-paid Long Term Disability coverage.Up to $150/month to cover the cost of working with a financial planner, plus up to $500 toward the upfront fee.$2000/year (prorated by start date) to put towards professional development$250/quarter to spend on yourself specific to our core value of "Be Well Being You.”$500 donated to a non-profit organization of your choice when you volunteer 40 hours within the calendar year.A sabbatical program that includes a cash bonus and extra time off at 5, 10, and 15 years.Subsidized employer-sponsored childcare through our internal child care program. (Subject to availability)Various Gym discounts Company-owned laptop computer provided (Apple Products).XYPN believes that our team members, and the individual identities and experiences of our team members, are our key differentiators. We won't settle for mere acceptance of each other's differences because we maintain that our team is better because of our differences, not in spite of them. As such, our culture celebrates, champions, supports, protects, and thrives on our various and collective identity categories. XYPN is beyond proud to be an equal opportunity employer.