What are the responsibilities and job description for the Operations and Compliance Associate position at Sage Capital Advisors LLC?
Company Description Sage Capital Advisors, LLC is a privately owned investment and wealth management firm that applies customized strategies to manage risk and grow wealth responsibly. Founded in 2005 and headquartered in San Diego, California, the firm has navigated a wide range of market environments while focusing on long-term results. Sage operates with a client-first philosophy, avoiding brokerage conflicts of interest and commission-based transactions. The firm’s fact-based investment approach emphasizes ethics, a comprehensive view of each client’s financial picture, and the use of trusted asset custodians such as Fidelity Investments, Charles Schwab, and other qualified institutions. Sage Capital Advisors is an SEC Registered Investment Adviser, offering advisory services only where properly licensed or exempt from licensure.
Role Description The Operations and Compliance Associate is a full-time, on-site position located in Sioux Falls, SD. This role supports day-to-day firm operations, including maintaining accurate client records, coordinating account openings and transfers, and ensuring smooth interactions with custodians and internal stakeholders. The associate assists with ongoing regulatory and legal compliance, monitoring adherence to firm policies, preparing and updating compliance documentation, and supporting periodic audits and filings. Responsibilities include identifying and resolving operational issues, performing data checks and reconciliations, and helping refine processes to improve efficiency and risk management. The role also involves clear, professional communication with team members, custodians, and occasionally clients, while handling sensitive information with discretion and integrity.
Qualifications
- Candidates should possess skills in Compliance Management and Regulatory Compliance to support oversight of firm policies and procedures.
- Candidates should possess skills in Legal Compliance to help interpret and apply relevant laws and SEC regulations.
- Candidates should possess strong Analytical Skills to review data, identify discrepancies, and support process improvements.
- Candidates should possess clear and professional Communication skills for collaborating with internal teams, custodians, and external partners.
- Experience in a registered investment adviser, broker-dealer, or financial services environment is beneficial.
- High attention to detail, strong organizational abilities, and proficiency with office and portfolio management software.
- Demonstrated integrity, discretion with confidential information, and commitment to ethical standards and client-focused service.