Compliance Analyst

Compliance Analyst (Part-Time)

Atlas Private Wealth Advisors | Fully Remote | Part-Time (approx. 20 hours/week)

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About the Role

Atlas Private Wealth Advisors is a prestigious wealth management firm managing over $1 billion in assets for a select group of high-net-worth families and individuals. We're looking for a part-time Compliance Analyst to help keep our firm's compliance program rigorous, current, and exam-ready.

Working closely with firm leadership, you'll own the day-to-day work of compliance testing, regulatory filings, records, and onboarding and offboarding, with a focus on accuracy and timely follow-through. This is a fully remote position at approximately 20 hours per week, so we're looking for someone who is highly organized, self-motivated, and fully self-sufficient: someone who manages their own time, tasks, and deadlines without needing to be managed. If you take pride in precision and catch what others miss, this role is for you.

What You'll Do

Compliance Program

• Maintain the firm's compliance manual and policies and procedures, keeping them current with regulatory requirements

• Conduct quarterly compliance testing and document results and remediation

• Prepare and submit required regulatory filings and maintain registration upkeep for the firm and its advisors

• Oversee books and records requirements to ensure accurate, complete, and accessible documentation

• Review marketing and advertising materials for compliance

• Respond to LPL Financial supervision requests accurately and on deadline

• Support regulatory and LPL examinations, including gathering documents and preparing responses

• Conduct vendor due diligence and maintain supporting documentation

Onboarding and Offboarding

• Manage compliance onboarding for new employees and advisors, including regulatory due diligence

• Support the compliance integration of acquired practices and their staff

• Manage offboarding, including filing Form U5 within 30 days, removing system access, preserving records, protecting client data, and completing LPL separation requirements

Compliance-Linked HR

• Administer new hire paperwork

• Track required training and ensure completion

• Update the employee handbook and compliance manual as policies and regulations change

Reporting

• Deliver monthly reports to firm leadership on testing status and open items, with clear follow-up on what's outstanding

What You Bring

• Active Series 65 and Series 24 licenses (required)

• Extreme attention to detail. In a role where accuracy matters enormously, you catch what others miss

• 5+ years of compliance experience at an SEC- or state-registered investment adviser, broker-dealer, or similar financial services firm

• Working knowledge of the Investment Advisers Act, including the Compliance Rule, Books and Records Rule, and Marketing Rule, as well as FINRA requirements

• Hands-on experience with Form ADV, Form U4, and Form U5 filings and registration maintenance

• Experience conducting compliance testing, preparing for regulatory exams, and documenting findings

• Strong written communication, with the ability to draft clear policies, procedures, and leadership reports

• Exceptional organization and self-motivation, with a proven ability to manage your own time, tasks, and calendar in a remote, part-time setting

• A high level of self-sufficiency. You take ownership, prioritize effectively, and keep work moving without close supervision

• Resourcefulness. xhyhwjd You find answers, research regulations independently, and make things happen without waiting to be told how

• Absolute discretion with confidential client, employee, and firm information

• Proficiency in Microsoft Office Suite. Experience with Redtail, compliance management systems like ACA Compliance Alpha or LPL Financial is a plus

• Experience working at LPL or an LPL-affiliated firm preferred

What We Offer

• Competitive compensation plus annual performance bonus eligibility

• 401(k) with up to 4% employer match

• Health insurance, including a plan option where the firm covers 100% of your monthly premium

• Voluntary dental and vision plans

• Generous sick leave and PTO

• Summer Fridays