Compliance Associate

Job Description

We are seeking a highly motivated and experienced Compliance Associate to join our team. The ideal candidate will have a strong background in compliance within the RIA or financial services industry and will play a crucial role in supporting our firm's compliance program.

Responsibilities

• Assist in the development, implementation, and maintenance of the firm's compliance program.
• Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements.
• Monitor and analyze regulatory changes and their impact on the firm.
• Provide compliance training and support to employees.
• Prepare and submit regulatory filings and reports.
• Investigate and resolve compliance issues and concerns.
• Maintain accurate and up-to-date compliance records and documentation.
  
  

Qualifications

• Bachelor’s Degree or an equivalent combination of experience, education, and training
• 3-5 years of experience in a compliance role within the RIA or financial services industry.
• Strong knowledge of SEC regulations and other relevant regulatory requirements.
• Excellent analytical and problem-solving skills.
• Strong attention to detail and organizational skills.
• Effective communication and interpersonal skills.
• Ability to work independently and as part of a team.
• Relevant certifications (e.g., IACCP, CRCP) are a plus.
• Knowledge of the following software is a plus but not required:
• Salesforce
• MyComplianceOffice (MCO)
• Tamarac Advisor View
• Smarsh
  

About The Beacon Pointe Family Of Companies

Beacon Pointe Advisors is a multi-billion-dollar Registered Investment Advisor with headquarters in Southern California and affiliate offices nationwide. Beacon Pointe provides clear and objective investment advice, solely advocating for our diverse group of clients including institutions (i.e., endowments, foundations), high-net-worth individuals and families. Our advisors’ extensive expertise and strong commitment to our clients can be seen through numerous awards, including being recognized by Bloomberg, Forbes, Financial Advisor Magazine, CNBC, Barron’s and more. For more information, please visit www.beaconpointe.com.