Compliance Associate

Quotient Wealth Partners, LLC; Dallas (TX); Hybrid; USD 65,000 - 95,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Paid time off

Holidays

Retirement plan with company match

Bonuses

Job summary

Quotient Wealth Partners in Dallas seeks a Compliance Associate to support regulatory compliance program with the CCO, ensuring adherence to SEC and state requirements in a hybrid role that also assists client service and account maintenance.

You will monitor trading activity, review marketing materials, maintain records, prepare for examinations, and help with AML/KYC and onboarding while contributing to a collaborative team.

Qualifications

• Strong verbal, written, and interpersonal communication skills.
• Ability to adapt to a rapidly changing, fast-paced regulatory environment.
• Effective organizational, multi-tasking, and prioritizing abilities.

Responsibilities

• Support the firm’s written compliance policies, annual reviews, and regulatory filings (Form ADV, state registrations).
• Monitor trading activity, personal securities transactions, and code of ethics compliance.
• Review marketing materials and client communications for regulatory compliance.
• Maintain books and records in accordance with SEC recordkeeping requirements.
• Support preparation for regulatory examinations and internal audits.
• Monitor complaints, gifts and entertainment, and outside business activities.
• Support AML/KYC procedures and client account documentation review.
• Assist with client account maintenance, including paperwork processing and custodian platform updates.
• Support client onboarding and respond to routine client service inquiries.
• Help maintain accurate CRM records for client accounts.

Education

Bachelor’s degree in finance, business, law, or related field

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

Job description

The Compliance Associate supports Quotient Wealth Partners’ regulatory compliance program, working closely with the Chief Compliance Officer (CCO) to ensure adherence to SEC and state regulatory requirements. This is a hybrid role that also supports client service functions, including account maintenance and client-facing coordination.

Duties and responsibilities include, but are not limited to:

• Support the firm’s written compliance policies, annual reviews, and regulatory filings (Form ADV, state registrations).
• Monitor trading activity, personal securities transactions, and code of ethics compliance.
• Review marketing materials and client communications for regulatory compliance.
• Maintain books and records in accordance with SEC recordkeeping requirements.
• Support preparation for regulatory examinations and internal audits.
• Monitor complaints, gifts and entertainment, and outside business activities.
• Support AML/KYC procedures and client account documentation review.
• Assist with client account maintenance, including paperwork processing and custodian platform updates.
• Support client onboarding and respond to routine client service inquiries.
• Help maintain accurate CRM records for client accounts.

Qualifications:

• Strong verbal, written, and interpersonal communication skills.
• Strong competency with Microsoft Outlook, Word, and Excel.
• Working knowledge of the Investment Advisers Act of 1940 and related SEC regulations.
• Preferred: Bachelor’s degree in finance, business, law, or related field.
• Preferred: 1-3 years of experience in compliance, client service, or operations within financial services.

Skills and Abilities:

• Ability to adapt to a rapidly changing and fast-paced business and regulatory environment.
• Ability to work effectively independently and in a team environment.
• Effective organizational, multi-tasking, and prioritizing skills with a can-do approach to work.
• High degree of discretion in handling confidential information.
• Competitive salary based on work experience and performance-based bonuses.
• Comprehensive health, dental, and vision insurance.
• Paid time off and holidays.
• Retirement plan with company match.

About Our Firm:

Quotient Wealth Partners is an independent financial advisory firm with offices in Dallas, Houston, San Antonio, Denver and Morristown. We are dedicated to providing comprehensive wealth management services with a strong commitment to excellence and a client-centric approach. We have established ourselves as trusted, fiduciary partners in helping individuals and businesses achieve their financial goals.

Quotient Wealth Partners provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws