Compliance Associate

Job Description

This role provides compliance support for a large, multi-office SECregistered investment adviser. The Compliance Associate will support the centralizedcompliance team in implementing and monitoring policies and procedures to ensureadherence to SEC regulations and internal requirements. While prior financialservices compliance experience is ideal, we will consider candidates withbackgrounds in RIA operations, broker-dealer supervision, or other regulatorysupport roles within the investment advisory or asset management space.

Key Responsibilities

• Assist with Code of Ethics Administration, including personal trade monitoring and employee certifications
• Support onboarding and offboarding of investment adviser representatives, including registration reviews and tracking documentation
• Help manage the firm’s compliance technology platform(s), including task workflows and reporting
• Maintain compliance records and assist with regulatory filings and exam preparation
• Review marketing and advertising materials for compliance with the SEC Marketing Rule
• Assist in documenting and investigating client complaints, trade errors, and employee disclosures
• Conduct regulatory research and assist in drafting internal guidance or training materials
• Support the execution of the firm’s annual compliance review and testing activities
  
  

Preferred Qualifications

• Bachelor’s Degree or an equivalent combination of experience, education, and training
• 1-3 years of experience in a compliance, legal, or regulatory role at a SEC-registered RIA, broker-dealer, asset manager, or similar financial services firm
• Working knowledge of the Investment Advisers Act of 1940 and related SEC regulations
• Familiarity with compliance software platforms such MyComplianceOffice (MCO), ComplySci, or similar platforms
  
  

Also Considered

• Experience in RIA operations, client service, or trading support
• Broker-dealer supervision, licensing, or registration functions
• Legal or regulatory roles in a financial services setting
• Compliance support roles at asset managers, fund administrators, or financial institutions
• AML/KYC or onboarding roles with exposure to regulatory compliance
• Strong understanding of investment products and advisory business practices
  
  

Skills And Attributes

• Strong attention to detail and organizational skills
• Effective written and verbal communication
• Ability to manage sensitive information with professionalism
• Self-starter with a collaborative mindset
  
  

About The Beacon Pointe Family Of Companies

Beacon Pointe Advisors is one of the nation’s largest Registered Investment Advisor firms with headquarters in Southern California and affiliate offices nationwide. Beacon Pointe provides advisory services to a range of clients, including institutions (i.e., endowments, foundations), high-net-worth individuals, and families. Beacon Pointe has been recognized by various industry publications including Forbes, Financial Advisor Magazine, Barron’s, and more. For more information, please visit Awards Disclosures.