Our client, a successful and growing wealth management firm with $1.5B AUM based in Irvine, CA, is seeking the right person to join their team as a Compliance Specialist. The Compliance Specialist will be an integral support to the Chief Compliance officer.
Job Duties:
Conduct RIA compliance tasks and testing (examples: Best Execution, service provider due diligence, 3rd party manager due diligence, email reviews, advertising reviews, social media reviews, auditing books and records, branch office reviews, risk assessments, etc.
Draft compliance manuals, code of ethics, business continuity plans cybersecurity policies and can review and analyze them for required updating.
Support the Chief Compliance Officer on various compliance tasks
Create reports oriented for audit presentation
Perform other duties and projects as needed
Job Requirements & Qualifications:
Strong understanding of SEC rules and regulations and how they apply to advisers
Strong understanding of various investment products and risks
Experience with Form ADV and other regulatory documents
Experience working in an SEC registered RIA
5+ years of experience
Series 65 licensed or similar
Solution oriented mindset
Passion for working in a fast paced, small company environment
Excellent written, organizational, and follow up skills
Excellent attention to detail and possess the ability to analyze data, identify trends, and escalate matters appropriately
Customer service oriented
Candidate must have a good understanding of excel
Must demonstrate strong critical thinking skills and curiosity
Beneficial skills
Experience with Orion, Redtail, and various custodial platforms (TD Veo, Schwab, Fidelity)
Work Schedule (Hybrid)
Monday through Friday: Candidate would be required to be in Irvine, CA office Monday – Friday for the first three months and would then be eligible for a hybrid work from home schedule, thereafter, meaning 3 days a week in office 2 days from home.
Compensation
Salary: $90,000 – $100,000
Benefits
Medical, Dental, Vision
Vacation, Sick PTO
401k
Associated topics: attorney, attorney corporate, compliance, corporate, corporate attorney, courtroom, internal, legal, legal affairs, legal department