RIA Compliance Analyst — Flexible Schedule & Growth

EP Wealth Advisors, LLC; Los Angeles (CA); On-site; USD 78,000 - 105,000; Full time

Benefits offered by this job

11 Holidays

2 Floating Holidays

3 Weeks PTO

Volunteer Time Off

Parental Leave

Flexible Work Schedule

Health/Dental/Vision Plans

401k with company match

Mental Health resources

Life Insurance

Disability Insurance

FSA/HSA

Educational Expense Reimbursement

Charitable Donations

Referral Incentives

Team Building Activities

Employee Assistance Program

Job summary

EP Wealth Advisors, LLC is seeking a Compliance Analyst to join a sophisticated investment adviser compliance program. You will support the CCO and Compliance team in day-to-day administration, monitoring, and policy oversight.

The role covers advertising review, privacy, Code of Ethics, filings, risk assessments, and training, with opportunities to leverage technology and data analytics to improve processes. Competitive benefits are offered.

Qualifications

• Bachelor’s degree or equivalent combination of education and relevant professional experience.
• At least four (4) years of professional compliance experience within the financial services, investment management, securities, or wealth management industry.
• At least two (2) years of direct compliance experience working for, or providing dedicated compliance support to, a Registered Investment Adviser (RIA).
• Working knowledge of the Investment Advisers Act of 1940 and applicable SEC rules, regulations, and guidance governing registered investment advisers.
• Hands-on experience with core RIA compliance functions: Form ADV, Code of Ethics, advertising/marketing, electronic communications surveillance, compliance testing and monitoring, books and records, regulatory filings, compliance risk assessments.

Responsibilities

• Support the CCO and Associate Directors of Compliance with day-to-day administration, monitoring, and oversight of the Firm’s compliance policies and procedures.
• Partner with Compliance colleagues, executive management, portfolio management, operations, and other business teams to identify and address compliance-related matters.
• Monitor regulatory developments and assist in evaluating their potential impact on the Firm’s compliance program.
• Help maintain and enhance compliance policies and procedures based on regulatory developments, testing, risk assessments, and business changes.
• Maintain required compliance books and records and support the administration and review of the Firm’s record retention program.
• Assist with review, maintenance, and implementation of privacy policies and related procedures.
• Develop and maintain compliance training materials and assist with employee training.
• Conduct electronic communications surveillance, document review findings, and assist with follow-up and escalation.
• Support administration of the Firm’s Code of Ethics, including monitoring employee personal securities transactions.
• Review marketing materials, advertising, correspondence, and other communications for compliance with regulatory requirements and Firm policies.
• Assist with Form ADV and other regulatory filings.
• Support annual review of the compliance program under Rule 206(4)-7.
• Participate in risk assessments, monitoring, testing, and reviews; document findings and remediation.
• Coordinate with external compliance consultants and legal counsel.
• Assist with regulatory examinations and information requests.
• Identify opportunities to improve processes via technology and data analytics.
• Participate in special projects and other compliance initiatives as assigned by the CCO or Associate Directors of Compliance.

Skills

Attention to detail

Analytical thinking

Written communication

Problem solving

Time management

Independent worker

Education

Bachelor’s degree

Tools

Tamarac

PortfolioCenter

Job description

EP Wealth Advisors, LLC is seeking a Compliance Analyst to join a sophisticated investment adviser compliance program. You will support the CCO and Compliance team in day-to-day administration, monitoring, and policy oversight.

The role covers advertising review, privacy, Code of Ethics, filings, risk assessments, and training, with opportunities to leverage technology and data analytics to improve processes. Competitive benefits are offered.