Headquartered in Broomfield, Colorado, AdvisorLaw provides nationwide representation to hundreds of financial advisors and wealth managers. We only advocate on behalf of the interests of the advisors – never for the investor or broker dealer. Our clients are motivated to call us to handle the reporting or removal of customer dispute disclosures, allegations after separation language for compliance, increased book valuation, recruiting reasons or to avoid FINRA fines, suspensions, license revocations, and more. The RIA division supports registered investment advisor firms in securing registration, developing compliance procedures, and monitoring and testing these procedures for effectiveness.
AdvisorLaw is a fast-growing company seeking individuals who enjoy doing impactful work in a relaxed business environment.
AdvisorLaw is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, sexual orientation, gender identity, disability, protected veteran status or any other status protected by applicable law.

POSITION SUMMARY:

The Compliance Coordinator will provide essential support to Senior Compliance Analysts in assisting RIA clients with regulatory compliance. This role is ideal for an organized, detail-oriented professional with experience in securities regulations, compliance documentation, and client support. The Compliance Coordinator will be instrumental in maintaining up-to-date filings, organizing documentation, and supporting internal and external communication efforts. The Compliance Coordinator will be responsible for maintaining high standards in client service, regulatory understanding, and administrative execution.

QUALIFICATIONS & SKILLS:

· Must have a bachelor’s degree or equivalent experience.
· 2+ years’ experience in Financial Services (working for a BD, an RIA, a Product company, or a Regulator)
· Preferred: previously obtained Series 6, 7, 63, 65, or 66
· Excellent written and verbal communication skills, with demonstrated ability to articulate relevant information in a concise manner.
· Strong attention to detail, organizational, and time management skills.
· High level of integrity, respect for confidential and sensitive information.
· Demonstrated ability to work independently with minimal supervision.
· Self-starter, proactive, creative thinker, problem solver, positive attitude.

· Assist in preparation and maintenance of regulatory filings.
· Collaborate with Senior Compliance Analysts in reviewing email and advertising communications to ensure compliance with SEC and state regulations.
· Maintain tracking systems for client compliance calendars, including regulatory deadlines and reporting obligations.
· Provide ongoing administrative and research support to the Senior Compliance Analysts.
· Coordinate with clients to collect necessary documentation and respond to routine information requests.
· Draft regulatory responses and memos for Senior Compliance Analysts.
· Perform other duties as assigned by Senior Compliance Analysts and the VP of RIA Operations.