Compliance Associate — Regulatory & Client Services (Hybrid)

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

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.