What are the responsibilities and job description for the Compliance Analyst position at Beacon Pointe?
Job Description
Beacon Pointe is currently seeking a qualified candidate to join our Compliance team as a Compliance Analyst . T he Compliance Analyst will support the firm’s compliance program and ensure adherence to regulatory requirements under the Investment Advisers Act of 1940. This role is ideal for a compliance professional who enjoys hands-on testing, local office oversight, and operational compliance work in a fast-paced RIA environment.
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
Beacon Pointe is currently seeking a qualified candidate to join our Compliance team as a Compliance Analyst . T he Compliance Analyst will support the firm’s compliance program and ensure adherence to regulatory requirements under the Investment Advisers Act of 1940. This role is ideal for a compliance professional who enjoys hands-on testing, local office oversight, and operational compliance work in a fast-paced RIA environment.
Responsibilities Include, But Are Not Limited To
- Execute the firm’s annual compliance testing program, including period reviews of advisory activities and operational processes
- Maintain testing logs, document findings, and track remediation efforts
- Assist in enhancing testing methodologies and risk-based monitoring procedures
- Conduct schedule branch inspections, which includes reviewing of branch books and records, supervisory practices, and adherence to firm policies
- Support the Director of Compliance in evaluating branch-level risks and implementing oversight enhancements
- Coordinate with operations to ensure compliance is integrated into workflows
- Support oversight of account opening, suitability documentation, and ongoing client review processes
- Bachelor’s degree preferred
- 2 -5 years of compliance experience , preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer
- Familiarity with the Investment Advisers Act of 1940 and related regulatory requirements
- Experience with compliance testing, monitoring, or branch/local office oversight strongly preferred
- Strong analytical, organizational, and communication skills
- Ability to work independently, manage multiple priorities, and maintain confidentiality
- Excellent interpersonal and verbal/written skills
- Knowledge of Salesforce CRM, Box, MyComplianceOffice (MCO) preferred
- Experience with Charles Schwab and Fidelity platforms preferred
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