Compliance Associate

EP Wealth Advisors

Location: Seattle, WA or Portland, OR

EP Wealth Advisors Admin, LLC ("EPWA") is a wealth management advisory firm with over $15 Billion in AUM as of December 31, 2021, serving predominately high net worth individuals. EPWA fosters an inclusive environment that offers opportunities for our associates to learn, grow and enhance their skills to take on new challenges to progress in their professional careers.

Our Headquarter office located in Torrance, CA is hiring for a Compliance Associate. The Compliance Associate role will work directly with and report to the firm's Chief Compliance Officer ("CCO") working out of one of our offices in either the Greater Seattle, WA Area or the Greater Portland, OR area, in addition to, other members of the Compliance Department and other firm staff. The Compliance Associate will assist in implementing, managing the regulatory compliance programs for the firm and will assist the CCO in managing and maintaining the firm's overall culture of compliance working closely with our offices and staff in the Pacific Northwest. You will join a team of dynamic, collaborative, and client-focused professionals who are focused on delivering on our founding core values: Integrity, Entrepreneurial, Excellence and Community.

Duties and Responsibilities

• Heavy data entry, filing and maintenance duties involving the firm's Compliance Management Software systems;

• Running reports and retrieving documents and files when requested;

• Implement and monitor projects and tasks as directed by CCO;

• Familiarity with firm related compliance policies and procedures, and a willingness to learn governing regulations and best practices, which include, amongst others, The Investment Advisers Act of 1940, Securities and Exchange Act of 1934;

• Assist the CCO in implementing and enforcing compliance policies and procedures;

• Effectively communicate regulatory and procedural changes and/or important issues to firm employees and/or management and any affected business units;

• Assist the CCO in day-to-day monitoring of all compliance related policies and procedures;

• Assist CCO with compliance program reviews and audits, including, annual review of firm pursuant to Rule 206(4)-7 under the Advisers Act;

• Effectively communicate with compliance consultant;

• Assist the CCO with new compliance initiatives; and

• Other special projects and ad hoc duties as assigned by the CCO.

Qualifications

• Ability to work in a team-oriented environment.

• Proficiency in Microsoft Office suite with expertise in Microsoft Word and Excel.

• Strong attention to detail and accuracy.

• Ability to multi-task and work well under pressure.

• Comfortable working in a fast-paced office environment with varying deadlines.

• Exceptional written and verbal communication skills

• Superior organization skills and dedication to completing projects in a timely manner.

• Strong interest in compliance and risk management functions.

• 2+ years' experience in an administrative capacity, in the Registered Investment Adviser space.

• 1-3 years of experience in financial services regulated environment.