Compliance Associate
Morton Wealth
Location: Calabasas, CA
Morton Wealth is seeking a Compliance Associate to join its Business Operations team. In this role, you will support the Compliance department by assisting in a range of compliance and regulatory matters and helping manage the firm’s compliance calendar. You will also play an important role in the formation and ongoing administration of a new proprietary Morton fund. You will be exposed to all facets of Morton’s compliance program and will collaborate with the Business Operations team, as well as other departments within the firm.
We are a registered investment advisor that was formed in 1981 and manages roughly $2.3 billion in assets across 1,000+ families. We manage wealth personally with the goal of empowering better investors and encouraging families to enjoy their lives. Our investment approach is distinctly not “Wall Street” as we are willing to look beyond traditional investments if we feel that alternative investments can more closely match our investment philosophy of risk management, true diversification and cash flow.
Our ideal candidate for this role will strive to reflect our core values in the following ways:
Excellence - Exhibits high attention to detail and organizational skills while managing multiple requests and tasks.
Ethical – Goes above and beyond to ensure that Morton always acts in the best interest of its clients. Sets the tone for Morton’s “culture of compliance.”
Empowerment – Demonstrates confidence in providing guidance to team members on compliance-related issues. Desires to maintain a high level of knowledge in a changing regulatory environment.
Empathy - Helps other team members by considering what they will need to be successful.
Empathy - Acts as a partner to team members in identifying solutions to problems. Possesses good communication skills and understands how the role fits into company goals.
Enjoyment – Projects a positive attitude. Works well as part of a team and participates in Morton events.
Daily responsibilities include:
Periodic testing of procedures, transactions, and/or accounts.
Assisting with review of marketing materials; maintenance of log and appropriate records of approved material
Supporting the quarterly and annual Code of Ethics certification process, assisting in the review of trade files for anomalies and other exceptions.
Assisting with routine audits and compliance reviews.
Fund Administration: Assisting in the formation and administration of a Morton proprietary fund.
Due Diligence: Coordinating ongoing due diligence reviews of vendors and fund managers.
Team Initiatives: Formulating and implementing department initiatives; Collaborating with team members on routine and ad hoc projects.
Experience
Undergraduate degree in Accounting, Business or Finance
1-3 years prior experience in investment compliance or fund administration
Proficient with Microsoft Office, including Excel
Our Offer:
Competitive compensation package
Retirement and health benefits
Transparent career tracks and opportunities for advancement within the organization