What are the responsibilities and job description for the Compliance Administrator position at Beacon Pointe?
Job Description
We are seeking a qualified candidate to join Beacon Pointe Advisors’ Compliance team remotely as a Compliance Administrator. This entry-level role is ideal for someone interested in financial services and eager to learn the fundamentals of regulatory compliance. The Compliance Administrator will assist with day-to-day compliance tasks, maintain records, and support the firm’s efforts to meet SEC and/or state regulatory requirements.
Responsibilities Include, But Are Not Limited To
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.
We are seeking a qualified candidate to join Beacon Pointe Advisors’ Compliance team remotely as a Compliance Administrator. This entry-level role is ideal for someone interested in financial services and eager to learn the fundamentals of regulatory compliance. The Compliance Administrator will assist with day-to-day compliance tasks, maintain records, and support the firm’s efforts to meet SEC and/or state regulatory requirements.
Responsibilities Include, But Are Not Limited To
- Support the preparation and filing of regulatory forms (e.g., Form ADV, U4/U5, Form CRS)
- Participate in new employee onboarding and offboarding documentation
- Assist in maintaining compliance records and documentation
- Help monitor employee disclosures (e.g., personal trading, outside business activities)
- Track deadlines and help manage the compliance calendar
- Help prepare materials for internal audits and regulatory exams
- Stay informed about industry regulations and firm policies
- Bachelor’s degree preferred
- Strong attention to detail and organization skills
- Excellent written and verbal communication
- Proficiency in Microsoft Office (Excel, Word, Outlook)
- Interest in financial services and regulatory compliance
- Experience with compliance software (e.g., MyComplianceOffice, Box, Salesforce)
- Familiarity with SEC regulations or RIA operations
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.
Administrator
Reza Law Group - Lemon Law Champions -
Costa Mesa, CA
Compliance Specialist
Nuvision Federal Credit Union -
Huntington, CA
Compliance Specialist
Astrana Health, Inc. -
CA, CA