Compliance Specialist

Aldrich; Lake Oswego (OR); Hybrid; USD 95,000 - 120,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Disability insurance

Health savings account

Flexible spending accounts

Dependent care benefits

401(k) with match

Paid time off

Paid holidays

Floating holidays

Volunteer time

Sabbaticals

Parental leave

Job summary

Aldrich Wealth in Lake Oswego, Oregon, seeks a Compliance Specialist to support the Chief Compliance Officer in administering our compliance program and ensure adherence to the Investment Advisers Act of 1940, SEC rules, and firm policies.

The ideal candidate has a bachelor’s degree, 3+ years of SEC regulatory compliance experience, Series 65, and experience supporting an SEC-registered RIA. IACCP/NSCP designations are a plus.

Qualifications

• Bachelor’s degree or applicable years of experience in Financial Services.
• Minimum of 3 years of SEC regulatory compliance experience.
• Experience developing and maintaining written compliance policies and procedures.
• Series 65 license or other qualifying professional designation.
• Experience supporting an SEC-registered RIA is strongly preferred.

Responsibilities

• Maintain and update compliance policies, procedures, and controls to ensure SEC and state securities rule compliance.
• Assist with compliance projects and risk evaluations across business lines.
• Respond to inquiries and resolve issues promptly and courteously.
• Create and deliver compliance training for employees.
• Review marketing materials for SEC Marketing Rule compliance.
• Administer Ethics Code including personal trading, gifts, and annual certifications.
• Coordinate annual regulatory reviews and prepare written reports.

Education

Bachelor’s degree

Series 65 license

IACCP/NSCP designation

Regulatory compliance experience

Job description

Description

We are seeking a detailed oriented and analytical professional to join our compliance team as a Compliance Specialist. This individual will work closely with our Chief Compliance Officer in administering our firm's compliance program. This position helps ensure compliance with the Investment Advisers Act of 1940, SEC rules, and firm policies while promoting a culture of fiduciary responsibility, risk management, and regulatory excellence.

Why Aldrich Wealth

Aldrich Wealth is a dynamic, fast-growing, and established independent registered investment advisor (RIA) at the forefront of the industry. As an RIA that provides a broad array of financial services to high net worth individuals and corporate retirement plans, we have been recognized by Oregon Business Magazine and San Diego Business Journal as Best Places to Work in both our Oregon and California regions and manage approximately $7 billion in assets.

Our holistic approach, paired with high-touch service, weaves together financial planning, wealth-building, wealth-preservation, and life goals. We guide our clients through today's financial complexities to protect and grow their financial assets for tomorrow.

Check out more about Aldrich at https://wealthadvisors.com/.

Requirements

What You Bring to the Team

• Bachelor’s degree from an accredited college/university or applicable years of experience in the Financial Services industry.
• Minimum of 3 years of experience of SEC regulatory compliance experience.
• Experience in applying industry regulatory requirements and developing, implementing, and maintaining written compliance policies and procedures.
• Series 65 license or other qualifying professional designation.
• Experience supporting an SEC-registered RIA strongly preferred.

Preferred

• IACCP, NSCP, or other Compliance designation or license.

You'll Get a Chance To

• Maintain and update compliance policies, procedures, and controls to ensure compliance with applicable SEC and state securities rules and regulations.
• Assist with compliance projects and initiatives involving business lines, providing compliance guidance and advice, and evaluating risk.
• Respond to customer inquiries and resolve issues promptly and courteously.
• Create and deliver compliance training/education for existing and new employees.
• Evaluate operational issues and gaps against regulatory requirements and best practices and offer corrective action as appropriate.
• Maintain and update regulatory disclosures (ADV 1A, 2A, 2B, 3 and 13H).
• Review marketing and advertising materials for compliance with the SEC Marketing Rule.
• Administer the firm's Code of Ethics, including personal trading, gifts, outside business activities, and annual certifications.
• Coordinate annual 206(4)-7 review and DOL PTE 2020-02 retrospective review and issue written reports to management.

How We'll Reward You

At Aldrich, we know a great client experience starts with an exceptional employee experience. Aldrich offers a comprehensive benefits package that includes:

Comprehensive Health Benefits and Retirement Savings:

• Medical, dental, and vision insurance
• Life and disability insurance
• Health savings (annual contribution of $1,500), flexible spending accounts, and dependent care benefits
• 401(k) plan with 1.5% match and 5% annual discretionary profit sharing

Generous Time Off:

• 4 weeks of vacation and sick leave combined into a Paid Time-Off bank
• 10 Paid Holidays, including two Floating Holidays
• 16 Hours of Volunteer Time
• Paid Sabbaticals and Paid Parental Leave

This information is provided in compliance with applicable state equal pay and pay equity legislation. It is in the company's good faith and reasonable estimate of the compensation range and benefits offered for this position. At Aldrich, it is not typical for an individual to be hired at or near the top of the range for their role, and compensation decisions are dependent on facts and circumstances of each candidate. The compensation offered may vary based on factors including experience, skills, education, location, and other job-related reasons. Aldrich makes internal equity a consideration in all pay decisions. A reasonable estimate of the current range for the exempt full-time position is $95,000-$120,000 DOE. You may also be eligible to participate in a variable compensation program.

For a full summary of our benefit offerings, check out Life at Aldrich here.

What You Should Know

This is a full-time position. Our standard office hours are Monday - Friday, 8 AM - 5 PM. This is a full-time hybrid position in our Lake Oswego, Oregon office.

Candidates must be legally authorized to work in the United States without the need for employer sponsorship.