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Compliance Associate

Palatine, IL | Full Time
6 Days Ago

Job Description

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 office located in the Greater Chicago area is hiring for a Compliance Associate. The Compliance Associate role will work directly with and report to the firm's Chief Compliance Officer ("CCO"), 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. 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.


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

What We Offer

We offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee's health, happiness, and financial well-being.

  • 11 Paid Holidays
  • 3 Weeks (PTO)
  • Paid Volunteer Time
  • Flexible Work Schedule
  • Highly subsidized Health, Dental, and Vision Plans
  • 401k Retirement Account with company match contributions
  • Free Mental Health Services, Life Insurance, Long & Short-Term Disability Insurance
  • Flexible Spending Accounts and Health Savings Accounts
  • Employee Financial Education
  • Employee Educational Expense Reimbursement
  • Employee Charitable Donations
  • Employee Referral Incentives
  • Employee Team Building Activities
  • Employee Assistance Program
  • Complimentary Food and Snacks

Company Overview

  • Website
  • Headquarters TORRANCE, CA
  • Size 100 - 200
  • Founded 2004
  • Type Private
  • Revenue $10M - $50M
  • Industry Financial Services
  • About ep wealth advisors
  • EP Wealth Advisors is an investment manager that provides wealth advisory and financial planning services to individuals.

Skills for Compliance Associate

The job skills required for Compliance Associate include Microsoft Office, Regulatory Compliance, Attention to Detail, Financial services, Integrity,and Verbal Communication etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.

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Career Path for Compliance Associate

The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist III that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.

How to Become a Compliance Associate

If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.

Step 1 Understand the job description and responsibilities of a Compliance Associate

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