Compliance Operations Pro - Path to CCO (Remote)

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

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.