Forum Financial Management, LP is a rapidly growing Registered Investment Advisory Firm (RIA) with more than $9.0 billion in assets under management. Forum was founded in 2002 and became an independent RIA advisory firm in 2009. At Forum, we use a highly diversified investment strategy derived from decades of academic research. While this strategy has been called many things, we think the term “evidence-based investing” best describes this approach. We strive to take the emotions out of investing and counsel clients to avoid making short-sighted moves based on current market conditions.

Forum Financial Management, LP is seeking a motivated and detail-oriented Compliance Analyst to join our Compliance Team. This role is ideal for a compliance professional who thrives on improving processes, embracing automation, and finding innovative ways to enhance compliance efficiency across the organization. The Compliance Analyst will play a central role in optimizing firmwide compliance operations by leading initiatives to streamline workflows, implement scalable technology solutions, and integrate automation tools that reduce manual tasks and improve data accuracy. This includes reengineering key compliance processes—from advisor onboarding and registration to ongoing supervision, testing, and audits—by developing and maintaining automated systems that ensure timely, consistent, and auditable outcomes.

Essential Duties and Responsibilities

• Process Improvements & Automation – Assess current-state processes and tasks for compliance operations, leverage AI tools to identify opportunities to automate, and implement optimized workflows that embed generative AI and/or agentic AI. Define and measure operational metrics to continuously improve and scale technology-driven efficiencies.
• Teamwide Tasks - Support firmwide compliance operations by managing the Compliance Inbox, assisting with risk assessments and advisor supervision, and providing documentation during audits and regulatory exams.
• Advisor Registration and Licensing - Administer advisor registrations, conduct annual regulatory reviews (ADV, U4, OBAs, licenses), and oversee continuing education requirements for Investment Adviser Representatives.  Oversee onboarding processes for new advisors and associates, ensuring timely setup, training completion, and compliance affirmations.
• Testing and Audits - Coordinate and execute compliance testing, branch office reviews, and audits; analyze findings, identify risks, and recommend corrective actions to strengthen compliance controls.
• MyComplianceOffice - Manage daily administration of the firm’s compliance monitoring system, process alerts and data integrations, and support ethics reporting and compliance affirmations.
• Annual Due Diligence Reviews - Conduct vendor and TAMP due diligence reviews, manage annual solicitor training, and maintain documentation for compliance oversight.

Minimum Knoweledge, Skills and Abiliites

• Experience in compliance with an SEC or State Registered Investment Adviser, FINRA, or equivalent financial institution is desired.
• Knowledge of the Investment Advisers Act of 1940 and related regulations.
• Strong proficiency with Microsoft Office Suite, and ability to quickly learn new software and automation tools.
• Demonstrated interest in or experience with AI platforms, automation systems, or data analytics for process improvement.
• Proactive problem solver with the ability to apply logical, critical, and strategic thinking to improve efficiency.
• Ability to work independently, meet deadlines, and manage multiple priorities in a fast-paced environment.
• Strong interpersonal and communication skills for collaboration across departments.

Education Qualifications

• Bachelor’s degree or equivalent experience required.

Why Work for Forum Financial Management?

We are a rapidly growing organization with a competitive total rewards package, continuing education and training, and tremendous career potential. This role will be critical in driving the future growth of the firm as we are only as successful as our advisors are individually.

Benefits- We offer a full benefits package including health (PPO, HMO, HSA, and FSA), Dental, Vision, Disability, and Life Insurance.

401k – We offer a 401 (k) plan that includes an automatic company contribution of 5% of salary.

PTO – Employees start off with 18 days.

Flexible work schedule -We offer a hybrid working schedule and require our employees to report to the office once a week. (Any day that works best for you).

Professional Development- Forum wants to grow our talent from within, and we recognize the role that professional development plays in that. We help our employees identify professional development goals each year and we offer several ways for employees to build their individual skillset.

Employee Engagement – Employee engagement is very important to Forum, and we believe our employees are our greatest assets, so we strive to host quarterly cultural building activities, monthly office luncheons, and other activities to increase productivity within the company.

Forum Financial Management, LP believes that all persons are entitled to equal employment opportunity and does not discriminate against nor favor any applicant because of race, sex, color, disability, national origin, gender identity/expression, actual or perceived.