Compliance Associate

Alphastar Capital Management is a rapidly growing SEC-Registered Investment Adviser overseeing approximately $2.5 billion in assets under management. We support Independent Financial Advisors by providing investment management, trading, compliance, technology, and operational infrastructure designed to scale efficiently while maintaining a strong fiduciary focus.We are seeking an experienced Compliance Associate to support our rapid company growth and advisor expansion and who understands that compliance must both protect the firm and help advisors move their business forward efficiently. The ideal candidate is responsive, practical, and comfortable operating in a fast-paced environment where speed, strong judgement, and clarity matter. Key responsibilities include:Compliance Program SupportReview internal and advisor created marketing materials to help ensure compliance with regulations and company policiesAnalyze submissions proposed for Compliance approval regarding topics such outside business activities, personal securities transactions, privacy, and vendor management Assist in drafting, revising, and updating departmental processes to reflect compliance with company policies and procedures, and reduce or eliminate redundanciesSupport the department in implementing and enhancing compliance controls to protect the business, support objectives, and drive growthUse strong judgement to investigate potential compliance issues and recommend appropriate next stepsResearch SEC rules and guidance and apply them to Compliance policies, procedures, and processesSupport Compliance onboarding for new advisors, working alongside other firm departments to ensure smooth onboarding and productive advisor experienceAssist with registration items including Form U4/U5 filings and Form 2B disclosures as neededProvide assistance regarding departmental projects and tasks as neededAdvisor SupportServe as a responsive and trusted Compliance partner to advisors and internal teams to help drive business forwardProvide clear guidance to advisors in a timely manner on how to comply with firm policies and procedures Use strong judgement to escalate issues when appropriate, while maintaining momentum and responsiveness QualificationsBachelor’s degree in business or related field3–7+ years of compliance experience in a compliance-related field, with a strong preference for experience with a retail investment adviserWorking knowledge of the Investment Advisers Act of 1940 and applicable state securities lawsExperience reviewing marketing materials and other day-to-day compliance functions Experience with Orion Compliance or other similar compliance management software a plusStrong organizational skills and ability to manage multiple priorities in a fast-paced environment Proficiency in MS Office & Microsoft 365 (Word, Excel, SharePoint, PowerPoint, etc.)BenefitsCompetitive salary plus bonus opportunitiesEmployee-only costs covered Medical, Dental and Vision insurance. Additional family members may be added and will be deducted from employees’ bi-weekly pay401(k) options availableGenerous PTO policy along with 11 paid holidays per yearAncillary benefits are offered including but not limited to short-term disability, longer term care coverage, legal support and moreGroup life insurance policy for all employees. Additional coverage is available with premiums deducted from employees’ bi-weekly pay