Position: Compliance Project Intern
Start Date: November 1, 2019
Status: Part-time (Hourly - Nonexempt)
Location: Bozeman, MT
Direct Reports: None
Reports to: Director of Compliance
XY Planning Network (XYPN) is the leading organization for fee-only financial advisors who want to serve their Gen X and Gen Y peers, providing comprehensive financial planning services for a monthly subscription fee and without product sales or asset minimums. The Network offers a virtual community for new and established financial advisors who want to serve a younger clientele, and provides its members compliance support services, marketing support, business tools and templates, and a wide range of technology solutions.
XYPN was nationally recognized as one of The 346 Best Places to Work in 2019 by Inc. magazine. In addition, we have recently earned accolades as one of the Fastest-Growing Private Companies in Montana and in the US by Inc. magazine. This is an opportunity to join a rapidly growing company that is reshaping the financial services industry.
As a Compliance Project Intern with XYPN, you will work with our Compliance team to execute our Annual ADV Update service through which we assist several hundred of our members with the completion of their required Annual ADV Update filing as required by their state securities regulators. This project involves collecting data from the member regarding the number of clients they have, the amount of assets under management they have, as well as any other material changes on their Form ADV that occured over their previous fiscal year. After the member provides that information via an electronic questionnaire, you will be responsible for inputting the updated information with a high level of accuracy and then communicating the completion of the updates to the member in a timely manner.
This project commences on November 1, 2019 with 6 - 8 weeks of training, and the execution of the project will start on January 2, 2020 until as late as March 31, 2020, depending on the volume of Annual ADV Updates we receive.
Compensation & Benefits:
Wage: $15 / hour