Compliance Analyst

Beacon Pointe Advisors • Newport Beach, CA

2d

About The Position

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.

Requirements

• 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

Nice To Haves

• Knowledge of Salesforce CRM, Box, MyComplianceOffice (MCO) preferred
• Experience with Charles Schwab and Fidelity platforms preferred

Responsibilities

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 101-250 employees