Compliance and Operations Associate
Financial Advocates Investment Management
Location: Tacoma, WA or Olympia, WA - Potential Remote
The Compliance and Operations Associate plays an integral part in supporting the firm’s efforts to maintain compliance and operational efficiency across various aspects of its business.
Duties and Responsibilities
The primary responsibilities of this role include, but are not limited to, the following:
Contribute to the administration of the compliance and operations functions of the firm.
Support audits, surveillance and other testing activities.
Assist in the maintenance of Form ADV and other regulatory reports and filings.
Liaise with custodians and other service providers.
Research and develop knowledge of applicable laws, regulations and rules.
Help to develop training for employees and financial advisors.
Assist with the maintenance of written compliance policies and procedures.
Support other operational functions of the firm, including, but not limited to, quarterly billing, trading, advisor transitions, due diligence of third-party service providers, etc.
Other responsibilities and projects as assigned.
Qualifications and Competencies
To perform the job successfully, you should be able to demonstrate the following competencies:
Client service mentality and professional demeanor.
Results oriented approach to work.
Strong interpersonal skills with ability to establish rapport and trust.
Excellent verbal and written communication skills.
Detail oriented with strong decision making and analytical skills.
Ability to exercise balanced, thoughtful judgement.
Advanced organizational skills and ability to manage multiple projects simultaneously.
Education and Experience
Bachelor or Associate degree preferred.
At least 1-3 years of compliance and/or operations experience within a financial services/investment management company.
How to Apply
If this sounds like a position in which you would excel and would like to join a dynamic team, please send us your resume and cover letter (attached as Word Documents) to the attention of Claire at careers@financialadvocates.com. Also, please use your last name somewhere in your resume’s file name.
If you are a qualified candidate, we will respond to your submission by phone or email. Please note, emails from us may go into your spam/junk folder, please check them regularly.