Signal Advisors
Compliance Associate
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Signal Advisors is on a mission to solve the retirement crisis. 69% of Americans do not work with a financial advisor today, and only a quarter have a financial plan. Our team is reimagining a 60‑year‑old industry—bringing new technologies, comprehensive services, and an inspired vision to financial advisors. Supported by our incredible investors, we’ve grown from a small Detroit‑based team in 2020 to over 130+ team members dispersed across the country.
We are: Empowering Leaders. Client Advocates. Entrepreneurial Champions.
Our team is a blend of industry experts and technologists building a better business, together. We’re in it for the long haul. Are you looking to be part of a dedicated, dispersed team where you can architect your impact and shape the company’s vision? Join us at Signal!
The Job As the Compliance Associate, you will be a key partner to the Chief Compliance Officer (CCO) in executing the firm’s compliance program. You will support and monitor the regulatory compliance programs for the Signal Wealth offering, focusing on SEC RIA regulations, licensing, registration, sales and marketing review, and internal control monitoring to ensure adherence to applicable SEC and FINRA rules and firm policies. You will need to be deadline and detail‑oriented to ensure we are always "Doing the right thing".
What You’ll Get To Do
Review and monitor the sales and trading activities of financial advisors, tracking, reporting, and resolving deficiencies related to exception reports.
Respond to state registration inquiries and coordinate the compliance on‑boarding of new financial advisors.
Assist in the investigation and resolution of customer complaints and inquiries from regulatory bodies (FINRA/SEC/State).
Provide monthly and quarterly compliance reports and assist with responding to firm inquiries.
Assist with marketing review, including internal and external advisor and retail client collateral.
Assist with IAR supervision including issue identification and remediation, account billing and suitability review, and other supervision duties.
Help monitor employee account oversight and maintain internal regulatory records.
Act as a compliance resource, providing guidance on regulatory requirements and firm policies across all business lines.
Other compliance‑related responsibilities due to continued growth.
What We’re Looking For In Team Members
A person with the aptitude for analysis, investigation, and problem‑solving, who is obsessed with finding a better way to streamline regulatory processes.
An energetic professional with outstanding organizational and time‑management skills who can act with a sense of urgency to meet critical deadlines.
Someone with excellent verbal and written communication skills to provide clear compliance guidance to advisors and respond to regulatory inquiries.
An individual who embodies integrity and understands that sticking to the highest standard is not optional.
What You Have
Minimum of two years compliance and/or supervisory experience within an RIA.
Insurance and securities marketing review experience.
FINRA Series 65/66; Series 7 and annuity and insurance knowledge is a nice to have.
Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations.
Deadline and detail‑oriented with outstanding organizational and time‑management skills.
Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving.
What We Value @ Signal
Obsessed with finding a better way. Never settle for less.
Act with a sense of urgency. Use best judgment to act urgently on the right things at the right time.
Raise our level of awareness. Everything starts with awareness.
Find inches everywhere. There are thousands of opportunities to make an impact. Take those opportunities and act.
Do the right thing. Sticking to the highest standard of integrity is not optional.
Have strong opinions, loosely held. It’s about what is right, not who is right.
Simplicity is genius. Simplicity makes everything better.
Ideas are valued, execution is worshiped. Great ideas lead to success through outstanding execution.
We are the "they". There is no "they"—we are empowered to fix things and be proactive.
Launch big ideas and obsess over feedback to learn how to improve.
Compensation & Benefits The U.S. base salary for this full‑time position is determined by role, level, and location. Individual pay is determined by work location and additional factors, including interviews and a review of education, experience, knowledge, skills, and abilities of the applicant, equity with other team members, and alignment with market data.
In Addition To Salary, Our Team Members Benefits Include
Medical, vision, and dental coverage
FSA or HSA‑eligible health plans
3% 401(k) company contribution with no vesting period
Paid parental leave for all parents
Learning & Development stipend
Wellness programs
Flexible vacation policy
Dedicated sick days
10 company‑wide holidays
$500 for your home office setup
Flexible, hybrid working environment
Annual all‑company retreat
Competitive equity package based on role and level
Seniority Level
Mid‑Senior level
Employment Type
Full‑time
Job Function
Finance and Sales
We are committed to building a team that represents people from many different backgrounds and professional, educational, and life experiences. We strongly encourage you to apply if you have interest in the role. Think of our job postings as just the start of the conversation. Take the leap—you might just be the perfect person for one of our open roles, even if you don’t fully match every requirement on the job description.
#J-18808-Ljbffr
Signal Advisors is on a mission to solve the retirement crisis. 69% of Americans do not work with a financial advisor today, and only a quarter have a financial plan. Our team is reimagining a 60‑year‑old industry—bringing new technologies, comprehensive services, and an inspired vision to financial advisors. Supported by our incredible investors, we’ve grown from a small Detroit‑based team in 2020 to over 130+ team members dispersed across the country.
We are: Empowering Leaders. Client Advocates. Entrepreneurial Champions.
Our team is a blend of industry experts and technologists building a better business, together. We’re in it for the long haul. Are you looking to be part of a dedicated, dispersed team where you can architect your impact and shape the company’s vision? Join us at Signal!
The Job As the Compliance Associate, you will be a key partner to the Chief Compliance Officer (CCO) in executing the firm’s compliance program. You will support and monitor the regulatory compliance programs for the Signal Wealth offering, focusing on SEC RIA regulations, licensing, registration, sales and marketing review, and internal control monitoring to ensure adherence to applicable SEC and FINRA rules and firm policies. You will need to be deadline and detail‑oriented to ensure we are always "Doing the right thing".
What You’ll Get To Do
Review and monitor the sales and trading activities of financial advisors, tracking, reporting, and resolving deficiencies related to exception reports.
Respond to state registration inquiries and coordinate the compliance on‑boarding of new financial advisors.
Assist in the investigation and resolution of customer complaints and inquiries from regulatory bodies (FINRA/SEC/State).
Provide monthly and quarterly compliance reports and assist with responding to firm inquiries.
Assist with marketing review, including internal and external advisor and retail client collateral.
Assist with IAR supervision including issue identification and remediation, account billing and suitability review, and other supervision duties.
Help monitor employee account oversight and maintain internal regulatory records.
Act as a compliance resource, providing guidance on regulatory requirements and firm policies across all business lines.
Other compliance‑related responsibilities due to continued growth.
What We’re Looking For In Team Members
A person with the aptitude for analysis, investigation, and problem‑solving, who is obsessed with finding a better way to streamline regulatory processes.
An energetic professional with outstanding organizational and time‑management skills who can act with a sense of urgency to meet critical deadlines.
Someone with excellent verbal and written communication skills to provide clear compliance guidance to advisors and respond to regulatory inquiries.
An individual who embodies integrity and understands that sticking to the highest standard is not optional.
What You Have
Minimum of two years compliance and/or supervisory experience within an RIA.
Insurance and securities marketing review experience.
FINRA Series 65/66; Series 7 and annuity and insurance knowledge is a nice to have.
Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations.
Deadline and detail‑oriented with outstanding organizational and time‑management skills.
Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving.
What We Value @ Signal
Obsessed with finding a better way. Never settle for less.
Act with a sense of urgency. Use best judgment to act urgently on the right things at the right time.
Raise our level of awareness. Everything starts with awareness.
Find inches everywhere. There are thousands of opportunities to make an impact. Take those opportunities and act.
Do the right thing. Sticking to the highest standard of integrity is not optional.
Have strong opinions, loosely held. It’s about what is right, not who is right.
Simplicity is genius. Simplicity makes everything better.
Ideas are valued, execution is worshiped. Great ideas lead to success through outstanding execution.
We are the "they". There is no "they"—we are empowered to fix things and be proactive.
Launch big ideas and obsess over feedback to learn how to improve.
Compensation & Benefits The U.S. base salary for this full‑time position is determined by role, level, and location. Individual pay is determined by work location and additional factors, including interviews and a review of education, experience, knowledge, skills, and abilities of the applicant, equity with other team members, and alignment with market data.
In Addition To Salary, Our Team Members Benefits Include
Medical, vision, and dental coverage
FSA or HSA‑eligible health plans
3% 401(k) company contribution with no vesting period
Paid parental leave for all parents
Learning & Development stipend
Wellness programs
Flexible vacation policy
Dedicated sick days
10 company‑wide holidays
$500 for your home office setup
Flexible, hybrid working environment
Annual all‑company retreat
Competitive equity package based on role and level
Seniority Level
Mid‑Senior level
Employment Type
Full‑time
Job Function
Finance and Sales
We are committed to building a team that represents people from many different backgrounds and professional, educational, and life experiences. We strongly encourage you to apply if you have interest in the role. Think of our job postings as just the start of the conversation. Take the leap—you might just be the perfect person for one of our open roles, even if you don’t fully match every requirement on the job description.
#J-18808-Ljbffr