Compliance Analyst

Location: Atlanta, GA

Reports to: Chief Compliance Officer

Employment type: Full-time

About the Firm

We are a confidential, SEC-registered, fee-only RIA with $5-10B in client assets. Our practice is built exclusively around ultra-high-net-worth families, foundations, and endowments, not a mixed mass-affluent book. We are independently operated, which keeps our incentives aligned with our clients' rather than a parent company's. Our advisor-to-client ratio is well below industry norms, which gives our advisors the room to go deep with every family they serve, and our average client relationship reflects the complexity that comes with serious wealth.

We believe the fiduciary model exists for a reason: it lets us sit on the same side of the table as the family and start every conversation with "what is the right decision for this client." We're extending a confidential invitation to a Compliance Analyst who wants to build a career around that idea.

Position summary

The Compliance Analyst supports the firm's day-to-day compliance program under the guidance of the Chief Compliance Officer and senior compliance staff. This is an early-career role suited to someone with a foundation in RIA or broker-dealer compliance who wants to grow into a senior compliance position. You will help execute testing, monitoring, and documentation that keeps the firm's compliance framework strong.

Key responsibilities

Compliance Monitoring & Testing

• Support execution of the firm's annual and quarterly compliance testing program.
• Assist with random sampling audits for policy adherence.
• Review marketing materials for compliance approval.
• Document testing and remediation in the firm's compliance software.
• Track corrective action plans and follow up on open items.

Regulatory Support

• Assist with filing drafts under guidance of senior compliance staff.
• Support custody audit documentation.
• Maintain compliance dashboards and regulatory tracking logs.

Policy & Governance Support

• Assist with reviews of the Compliance Manual, Code of Ethics, and other internal policies.
• Maintain the policy inventory and annual attestation tracking.
• Support vendor due diligence and ongoing monitoring.

Cybersecurity & Operational Support

• Assist with coordination of annual cybersecurity testing.
• Help maintain documentation from IT providers.
• Monitor MFA and employee credential controls.

Training & Communication

• Track annual compliance and cybersecurity training completion.
• Support new hire onboarding and offboarding compliance requirements.
• Help maintain the compliance training library.

Qualifications

• Bachelor's degree in finance, business, law, or related field.
• 3-5 years of experience in compliance, legal, or risk management at an RIA, broker-dealer, or related financial firm.
• Working knowledge of SEC and Investment Advisers Act regulations.
• Strong attention to detail and organizational skills.
• Ability to manage multiple priorities and work independently.

Why This Opportunity

This role offers direct mentorship from experienced compliance leadership and a clear growth path toward a senior compliance position, at a firm built around a strong culture of compliance and client-first fiduciary values.

Compensation and benefits

• Competitive base salary.
• Medical, dental, and 401(k) benefits.
• Generous PTO schedule.
• Financial support for professional accreditation and continuing education.

This search is being conducted confidentially. Firm details will be shared directly with qualified candidates.