Compliance Associate
alinea investFargo (ND)
About the role
Compliance Associate (RIA & Broker-Dealer) Alinea · Remote (US) · Full-time About AlineaAlinea is a registered investment adviser building a simpler way to invest. Our app brings AI-powered portfolios, automated investing, IRAs and more to a new generation of investors. We're now establishing an affiliated broker-dealer, and we're committed to growing the right way, with compliance built into how we create products and talk to clients from day one.
About the role:
We're looking for an experienced Compliance Associate to work in a dual capacity: supporting our existing RIA compliance program while helping build the compliance framework for our new broker-dealer. It's a rare chance to help stand up a broker-dealer from the ground up and shape its policies, supervisory structure and culture. You'll partner closely with fast-moving marketing, product and engineering teams and help them ship work that's clear, fair and compliant. This role reports to our Chief Compliance Officer.
What you'll do: Broker-dealer formation and supervision
- Support the broker-dealer registration process, including the FINRA New Membership Application (Form BD and related materials) and responses to regulator inquiries.
- Help draft and implement Written Supervisory Procedures (WSPs), supervisory controls and the firm's compliance manual.
- Once registered, serve as a registered principal, supervising activity and approving communications under FINRA rules.
- Build processes for registration and licensing (U4/U5), annual compliance meetings, branch and supervisory reviews, and FINRA Rule 3110/3120/3130 obligations. RIA compliance
- Review advertising and client communications (social, video, influencer content, email, in-app copy and push notifications) under the SEC Marketing Rule, and work with teams to resolve issues before launch.
- Evaluate disclosures, substantiation and performance-related content, and maintain review records and approval workflows in our compliance platform.
- Support the firm's compliance program, including policies and procedures, annual reviews, the Code of Ethics, personal trading, and gifts and entertainment monitoring.
- Help prepare regulatory filings (e.g., Form ADV updates) and support SEC examinations. Across both entities
- Help design a coordinated compliance program that addresses dual-registrant considerations, including conflicts of interest, Regulation Best Interest and Form CRS.
- Conduct surveillance and testing, document findings and track remediation.
- Train employees on compliance topics and be the go-to resource for day-to-day questions.
- Stay current on regulatory developments affecting digital advisers, broker-dealers, AI-driven investing and fintech, and turn them into practical guidance. What you bring
- 5–10 years of compliance experience at a broker-dealer, RIA, dual registrant or fintech firm.
- Active FINRA Series 7 and Series 24 registrations.
- Strong working knowledge of FINRA rules (including 2210, 3110 and 3120), the Investment Advisers Act and the SEC Marketing Rule.
- Experience drafting or maintaining WSPs and supervising registered representatives.
- Hands-on experience reviewing marketing and social media content, including influencer and paid endorsement programs.
- Sound judgment and the ability to explain the "why" behind a decision in plain language.
- Comfort in a fast-paced startup where priorities shift and processes are still being built.
- Excellent organization, attention to detail and written communication.
Nice to have:
- Direct experience with a FINRA New Membership Application or a broker-dealer launch.
- Experience at a dual registrant or with Reg BI and Form CRS implementation.
- Experience with digital advice, robo-advisers or AI-driven investment products.
- Familiarity with retirement accounts (IRAs) and crypto-related compliance.
- Experience with compliance review platforms (e.g., Hadrius).
- Series 65/66, Series 27 or other relevant certifications (e.g., CRCP).Alinea is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
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