RIA Compliance Analyst — Investment Adviser

EP Wealth Advisors, LLC; Torrance (CA); Sur place; USD 90 000 - 130 000; Plein temps

Avantages offerts par ce poste

11 Paid Holidays + 2 floating holidays

3 Weeks PTO

Paid Volunteer Time

Paid Parental Leave

Flexible Work Schedule

Health, Dental, Vision Plans

Résumé du poste

EP Wealth Advisors is seeking an experienced Compliance Analyst to join our Compliance team in Torrance, CA. The role supports the CCO and Associate Directors, overseeing regulatory filings, advertising and marketing reviews, privacy, training, and risk assessments across the investment advisory framework.

The ideal candidate has 4+ years of compliance experience in financial services, with knowledge of the Investment Advisers Act and SEC rules.

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 one or more core RIA compliance functions, such as: Form ADV preparation or maintenance; Code of Ethics administration; advertising and marketing review; electronic communications surveillance; compliance testing and monitoring; books and records requirements; regulatory filings; or compliance risk assessments.
• Strong attention to detail, accuracy, organization, and follow-through.
• Ability to manage multiple priorities, deadlines, and projects in a fast-paced environment.
• Strong analytical, research, problem-solving, and written communication skills.
• Ability to work independently while collaborating effectively with colleagues across the organization.
• Sound judgment and discretion when handling confidential or sensitive information.
• Proficiency with Microsoft Office applications, particularly Excel, Word, Outlook, and PowerPoint.
• Ability and willingness to learn and use new technology, including artificial intelligence tools such as ChatGPT, to support compliance research, analysis, workflow efficiency, and process improvement.

Responsabilités

• Support the CCO and Associate Directors of Compliance with the 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 help 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, compliance testing, risk assessments, business changes, and industry practices.
• Maintain required compliance books and records and support the administration and review of the Firm’s record retention program.
• Assist with the review, maintenance, and implementation of privacy policies and related procedures.
• Develop and maintain compliance training materials and assist with employee compliance training and education.
• Conduct electronic communications surveillance, document review findings, and assist with appropriate follow-up and escalation.
• Support administration of the Firm’s Code of Ethics, including monitoring employee personal securities transactions and other Code requirements.
• Review marketing materials, advertising, correspondence, and other communications for compliance with applicable regulatory requirements and Firm policies.
• Assist with the preparation, maintenance, and timely filing of the Firm’s Form ADV and other required regulatory filings.
• Support the Firm’s annual review of its compliance program pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940.
• Participate in compliance risk assessments, monitoring, testing, and reviews; document findings and assist with tracking and remediation efforts.
• Coordinate with external compliance consultants and legal counsel, as appropriate.
• Assist with regulatory examinations, inquiries, and information requests, as needed.
• Identify opportunities to improve compliance processes through technology, automation, data analysis, and artificial intelligence tools.
• Participate in special projects and other compliance initiatives as assigned by the CCO or Associate Directors of Compliance.

Connaissances

Regulatory knowledge

Attention to detail

Analytical skills

Written communication

Team collaboration

Formation

Bachelor’s degree

Outils

Microsoft Excel

Microsoft Word

Microsoft Outlook

PowerPoint

Description du poste

EP Wealth Advisors is seeking an experienced Compliance Analyst to join our Compliance team in Torrance, CA. The role supports the CCO and Associate Directors, overseeing regulatory filings, advertising and marketing reviews, privacy, training, and risk assessments across the investment advisory framework.

The ideal candidate has 4+ years of compliance experience in financial services, with knowledge of the Investment Advisers Act and SEC rules.