Wealth Management Compliance Associate

EP Wealth Advisors, LLC; California (PA); Hybrid; USD 65,000 - 73,000; Full time

Benefits offered by this job

11 Paid Holidays

Floating Holidays

Parental Leave

Volunteer Time

Flexible Work Schedule

Health Plans (Dental, Vision)

401k with company match

Mental Health services

Life Insurance

Disability Insurance

FSAs/HSAs

Educational Expense Reimbursement

Charitable Donations

Referral Incentives

Team Building Activities

Employee Assistance Program

Job summary

EP Wealth Advisors, LLC is seeking a Compliance Associate to support the regulatory compliance programs under the Associate Director of Compliance and the CCO. The role requires attention to detail, collaboration across departments, and the ability to address compliance matters with staff at all levels.

The position is hybrid, based out of one of several locations, and involves day-to-day monitoring, audits, and policy implementation to uphold the firm's culture of compliance and integrity.

Qualifications

• 2+ years' experience in an administrative capacity, in the Registered Investment Adviser space preferred.
• 1-3 years of experience in financial services regulated environment preferred.
• Ability to work in a team-oriented environment.
• Proficiency in Microsoft Office suite with expertise in Word and Excel.
• Strong attention to detail and accuracy.

Responsibilities

• Assist in day-to-day monitoring of all compliance related policies and procedures.
• Assist with compliance program reviews and audits.
• Heavy data entry, filing and maintenance duties involving the firm's Compliance Management Software systems.
• Familiarity with firm related compliance policies and procedures, and a willingness to learn governing regulations and best practices.
• Effectively communicate regulatory and procedural changes to firm employees and management.
• Assist in implementing and enforcing compliance policies and procedures.
• Running reports and retrieving documents and files when requested.
• Implement and monitor projects and tasks as directed by AD.
• Assist with new compliance initiatives; and other special projects and ad hoc duties as assigned by the AD & CCO

Skills

Teamwork

Attention to detail

Multi-tasking

Communication skills

Adaptability

Tools

Microsoft Word

Microsoft Excel

Job description

EP Wealth Advisors, LLC is seeking a Compliance Associate to support the regulatory compliance programs under the Associate Director of Compliance and the CCO. The role requires attention to detail, collaboration across departments, and the ability to address compliance matters with staff at all levels.

The position is hybrid, based out of one of several locations, and involves day-to-day monitoring, audits, and policy implementation to uphold the firm's culture of compliance and integrity.