Compliance Operations Associate

Anchor Point Compliance Consulting; Pagosa Springs (CO); Remote; USD 70,000 - 80,000; Full time

Job summary

Anchor Point Compliance Consulting is seeking a Compliance Operations Associate to support the COO and CCOs from a remote location. You will manage the regulatory calendar and filings, oversee Monday.com workflows, and help prepare documentation for client reviews and compliance exams.

You will learn broker-dealer, investment adviser and fund compliance with mentoring to grow toward a CCO seat, including additional registrations and AI-assisted workflows.

Qualifications

• Must be organized and proactive in managing multiple client filings and deadlines.
• Strong interest in growing into a CCO role with formal exposure to broker-dealer, RIA, and fund compliance.
• Experience with project management tools (e.g., Monday.com) and AI-assisted workflows is a plus.
• Proficiency with Google Workspace and AI prompt tooling (Claude, Gemini) preferred.

Responsibilities

• Own the regulatory calendar for each client and track deadlines (FOCUS, Form ADV amendments, N-PORT, etc.).
• Manage Monday.com workspace, templates, automations, and dashboards for workload and status visibility.
• Prepare and organize filings, checklists, and packets for CCO review and submission.
• Shadow and learn the CCO seat, taking on tasks with review and guidance to advance toward Registrations like Series 7/24.

Skills

Organized

Project management

Monday.com skills

Claude prompts

Gemini prompts

Google Workspace

Tools

Claude AI

Gemini AI

Google Workspace

Job description

Compliance Operations Associate (CCO Development Track)

Department: Operations & Compliance

Reports To: Chief Operating Officer (and supporting APCC's CCOs)

Location & Travel Expectations: Remote, no travel required

Job Type: Full-Time, 1099 Independent Contractor

Compensation Package

• Compensation: $70,000 to $80,000 per year, based on experience
• Full-time, remote engagement

Who We Are

Anchor Point Compliance Consulting (APCC) is a team of CEOs, CCOs, COOs and FINOPs who have run the kinds of firms we now support. We serve broker-dealers, investment advisers, funds and fintech innovators as their outsourced CEO, CCO, Principal, FINOP and embedded compliance partner.

We are not an "old school" compliance shop. We find the path to yes, we use modern tools and AI every day, and we like working together. Our clients range from Bitcoin ETFs and crypto RIAs to broker-dealers running ATS and private placement platforms.

Stay Steady. Stay Compliant.

Anchor Point Is Growing

We are adding new clients, new service lines and new people. This role exists because our COO and CCOs need a strong partner to keep the work moving, and we want someone who will grow into a compliance leader here with us.

Our Values: We Are The BELAYER

In climbing, a belayer manages the rope so the climber can focus on the ascent. That is what we do for our clients.

• Balance: We find the "yes" by balancing regulatory demands with ambitious business goals.
• Expertise: Decades of real-world leadership behind every deliverable.
• Long-Term Value: We go beyond checking the box to help firms grow with confidence.
• Accountability: We own our outcomes and the quality of our work.
• Yes Mindset: We find a way forward where others see roadblocks.
• Execution: Timely, precise delivery is our baseline.
• Responsiveness: Clients never wonder if we are on it. They know we are.

The Role

You will be the operations engine behind our COO and CCOs. You will run our project management in Monday.com, own the regulatory calendar for every client, and give our CCOs the support they need to get filings and reviews done right and on time.

Your path is to become a CCO, and we will train you. This is not a dead-end admin job. You will learn broker-dealer, investment adviser and fund compliance from people who have sat in the CEO, CCO, COO and FINOP seats. As you grow, you will take on more of the compliance work yourself, add registrations, and build toward a CCO seat of your own.

Who You Are

You might be an administrator or project manager in financial services today, or a compliance professional who has not held a CCO seat yet. Either way, you want a career in compliance and you are ready to learn.

• Organized: You love systems, never let a deadline slip, and follow up without being asked.
• Hungry: You want to become a CCO, and you are willing to put in the work to get there.
• Curious: Our clients span ETFs, crypto, annuities, private placements and more. You want to understand how all of it works.
• Coachable: You are open to new ways of working, including our processes, templates and AI-driven workflows.
• Team-first: You share what you know, ask for help when you need it, and celebrate the wins together.

What You Will Do Project Management & Regulatory Calendar

• Run the regulatory calendar for every client, covering deadlines such as FOCUS reports, annual audits, Form ADV amendments, Form CRS updates, Forms N-PORT and ATS-R, FINRA Rule 4530 statistics, FINRA Rule 3130 certifications and state renewals.
• Take in new compliance projects (membership applications, exam requests, annual reviews, AML tests, marketing reviews), break them into tasks and assign each one to the right person.
• Set internal due dates well ahead of regulatory deadlines, follow up with owners, and flag anything at risk to the COO and the responsible CCO.
• Run weekly status reviews so leadership can see open items, upcoming deadlines and team capacity at a glance.

Monday.com Build-Out

• Own APCC's Monday.com workspace: board templates by firm type, automations, dependencies, deadline alerts and integrations.
• Assist with building dashboards for workload, upcoming filings, overdue items and client status.
• Keep Monday.com, our CRM and Google Drive in sync, and train the team on new workflows.

Support for Our CCOs and COO

• Help prepare filings: gather information from clients, draft forms and checklists, and organize packets for CCO review. The responsible CCO or principal reviews, signs and submits every filing.
• Gather documents for annual reviews, AML testing, exam requests and marketing reviews, and organize them for the CCO.
• Maintain records: save submission confirmations, review sign-offs and meeting notes so every client stays exam-ready.
• Manage calendars, schedule client meetings, take AI-assisted notes and send action items within one business day.
• Keep client files in Google Drive organized, and protect confidential and nonpublic personal information under our Regulation S-P procedures.

Learning the CCO Seat

• Shadow our CCOs on filings, annual reviews, AML testing and regulatory exams.
• Take on compliance tasks as you learn, with a CCO reviewing your work.
• Work toward additional registrations, such as the Series 7 and Series 24, with our support.

What You Bring Must-Haves

• SIE (Securities Industry Essentials) exam passed.
• A career goal in financial services compliance, with your sights set on becoming a CCO. You are committed to getting your Series 24.
• 2+ years in an administrative, project management, operations or compliance role, ideally in financial services.
• Monday.com skills: You build boards, automations, dashboards and integrations, not just use them.
• Excellent with Claude and Gemini: You use both every day to draft, summarize and organize, you write strong prompts, you set up Claude Projects, and you check AI output for accuracy before it goes to anyone.
• Google Workspace pro: Gmail, Drive, Docs, Sheets, Calendar and Meet are second nature.
• Highly organized, discreet with confidential information, and a clear, concise writer.

Big Pluses

• Experience at a broker-dealer, RIA, fund administrator or compliance consulting firm.
• Familiarity with filings such as FOCUS, Form ADV, Form CRS and Form U4/U5.
• Additional registrations, such as the Series 7, 63, 65 or 66.
• Monday.com certification, or a PMP or CAPM project management certification.
• CRM experience with GoHighLevel, HubSpot or Salesforce.

Why You Will Love It Here

• A real path: We will train you to become a CCO.
• A team that has your back: Mentors who have sat in the CEO, CCO, COO and FINOP seats.
• Variety: ETFs, crypto, annuities, ATS and private placements. You will not get bored.
• Modern tools: You get hands-on with the newest AI tools, and we want you to push what they can do.
• Room to grow: As Anchor Point grows, so do your role and your responsibilities.
• Fun: We are professional with clients and have fun with each other. Expect climbing metaphors, good-natured banter and plenty of "we got this."

What Success Looks Like

• Every client deadline is tracked in Monday.com and met.
• Monday.com is the team's one source of truth, with live dashboards for every client within your first 90 days.
• Our CCOs spend their time on regulatory judgment, not chasing documents or notes.
• You take on more compliance work every quarter.

We take compliance seriously and still have fun doing it. We would love to meet you.