Compliance Associate

Ultimate Solutions; United States; Remote; USD 50,000 - 80,000; Full time

Job summary

A leading financial services firm is seeking a motivated Compliance Associate to ensure adherence to compliance standards and assist in managing the firm's compliance program. This role requires strong analytical skills, attention to detail, and the ability to work independently while supporting compliance initiatives. The ideal candidate will have a Bachelor’s Degree and experience within a compliance or financial services environment.

Qualifications

• Bachelor’s Degree or equivalent combination of experience, education, and training.
• Prior experience in compliance, legal, regulatory, or financial services.
• Familiarity with SEC regulations preferred.

Responsibilities

• Support day-to-day compliance functions including managing employee onboarding.
• Assist with regulatory exams and internal compliance testing.
• Monitor submission of advertising materials for compliance.

Skills

Analytical skills

Problem-solving

Attention to detail

Organizational skills

Written communication

Verbal communication

Education

Bachelor’s Degree

Tools

Microsoft Office Suite

MyComplianceOffice (MCO)

Global Relay

Job description

Job Description

We are seeking a motivated and detail-oriented Compliance Associate to join our Compliance team. The Compliance Associate will play a key role in the daily administration of the firm’s compliance program, ensuring adherence to regulatory and policy requirements. This position will help promote a strong culture of ethics and integrity and serve as a resource for firm personnel seeking regulatory guidance.

Key Responsibilities:

• Support day-to-day compliance functions, including Code of Ethics monitoring, and managing employee onboarding and offboarding processes (e.g., Form U4, Form filings, disclosures, and attestations).
• Assist with gathering materials for regulatory exams, and internal compliance testing
• Monitor the submission of advertising and marketing materials for review; assist with marketing reviews.
• Provide administrative support for compliance projects and initiatives.
• Help firm personnel to address and resolve compliance issues as they arise.
• Prepare and distribute compliance communications and updates to firm employees.
• Participate in the maintaining and updating the firm’s compliance manual, policies, and procedures.
• Maintain a compliance calendar to identify all critical dates related to regulatory, client reporting, and other compliance matters to ensure deadlines are met.
• Stay informed on regulatory and compliance issues and participate in continuing education opportunities.

Qualifications:

• Bachelor’s Degree or an equivalent combination of experience, education, and training.
• Prior experience in a compliance, legal, regulatory, or financial services environment.
• Familiarity with SEC regulations applicable to registered investment advisers is preferred.
• Strong analytical and problem-solving skills.
• High attention to detail and excellent organizational skills.
• Excellent written and verbal communication skills.
• Self-motivated with the ability to work independently while collaborating with the broader team.
• Ability to handle sensitive information with discretion and maintain confidentiality is required.
• Proficient in Microsoft Office Suite (Excel, Word, Outlook, PowerPoint)
• Experience with compliance software tools (e.g., MyComplianceOffice (MCO), Global Relay, or similar platforms), is preferred.

About Beacon Pointe Advisors

Beacon Pointe Advisors is a multi-billion dollar Registered Investment Advisor with headquarters in Southern California and affiliate offices nationwide. Beacon Pointe provides clear and objective investment advice, solely advocating for our diverse group of clients including institutions (i.e., endowments, foundations), high-net-worth individuals and families. Our advisors’ extensive expertise and strong commitment to our clients can be seen through numerous awards, including being recognized byBloomberg, Forbes, Financial Advisor Magazine, CNBC, Barron’sand more. For more information, please visitwww.beaconpointe.com.