Compliance Analyst - Torrance, West LA, San Francisco, Walnut Creek, Phoenix, Philadelphia, Boston (Hybrid)

EP Wealth Advisors•Los Angeles CA, CA

3d•Hybrid

About The Position

EP Wealth Advisors (EPWA), a wealth management advisory firm serving predominantly high-net-worth individuals, is seeking an experienced, detail-oriented, and collaborative Compliance Analyst to join its Compliance team. The role supports the administration, monitoring, testing, and ongoing enhancement of the Firm’s compliance program and works closely with the Chief Compliance Officer, Associate Directors of Compliance, other Compliance team members, and business partners throughout the Firm. The position offers exposure to a broad range of investment adviser compliance functions, including regulatory filings, advertising and marketing review, electronic communications surveillance, Code of Ethics administration, compliance testing, employee training, privacy, books and records, risk assessments, and regulatory developments. The Compliance Analyst also assists with the Firm’s annual compliance program review, regulatory examinations and inquiries, and initiatives to improve processes using technology, automation, data analysis, and artificial intelligence tools.

Requirements

Bachelor’s degree or equivalent combination of education and relevant professional experience.
At least four years of professional compliance experience in financial services, investment management, securities, or wealth management.
At least two years of direct compliance experience working for, or providing dedicated compliance support to, a Registered Investment Adviser (RIA).
Working knowledge of the Investment Advisers Act of 1940 and applicable SEC rules, regulations, and guidance governing registered investment advisers.
Hands-on experience with one or more core RIA compliance functions, such as Form ADV preparation or maintenance, Code of Ethics administration, advertising and marketing review, electronic communications surveillance, compliance testing and monitoring, books and records requirements, regulatory filings, or compliance risk assessments.
Strong attention to detail, accuracy, organization, and follow-through.
Ability to manage multiple priorities, deadlines, and projects in a fast-paced environment.
Strong analytical, research, problem-solving, and written communication skills.
Ability to work independently and collaborate effectively with colleagues across the organization.
Sound judgment and discretion when handling confidential or sensitive information.
Proficiency with Microsoft Office applications, particularly Excel, Word, Outlook, and PowerPoint.
Ability and willingness to learn and use new technology, including artificial intelligence tools such as ChatGPT, for compliance research, analysis, workflow efficiency, and process improvement.

Nice To Haves

Experience with a large or multi-office Registered Investment Adviser or wealth management organization.
Experience supporting an SEC-registered investment adviser.
Experience participating in SEC examinations, regulatory inquiries, or responses to regulatory information requests.
Experience drafting, maintaining, or revising compliance policies and procedures.
Experience conducting or supporting annual compliance reviews pursuant to Rule 206(4)-7.
Familiarity with Tamarac, PortfolioCenter, or similar portfolio management, reporting, or wealth management platforms.
Experience with compliance technology, workflow tools, data analytics, or automation.
Familiarity with cybersecurity, privacy, identity theft, fraud prevention, and related regulatory risks and controls within the financial services industry.

Responsibilities

Support the CCO and Associate Directors of Compliance with the day-to-day administration, monitoring, and oversight of the Firm’s compliance policies and procedures.
Work with Compliance colleagues, executive management, portfolio management, operations, and other business teams to identify and address compliance matters.
Monitor regulatory developments and help evaluate their potential impact on the Firm’s compliance program.
Maintain and enhance compliance policies and procedures in response to regulatory developments, testing, risk assessments, business changes, and industry practices.
Maintain required compliance books and records and support administration and review of the record retention program.
Assist with reviewing, maintaining, and implementing privacy policies and related procedures.
Develop and maintain compliance training materials and assist with employee training and education.
Conduct electronic communications surveillance, document review findings, and assist with follow-up and escalation.
Support Code of Ethics administration, including monitoring employee personal securities transactions and other Code requirements.
Review marketing materials, advertising, correspondence, and other communications for compliance with regulatory requirements and Firm policies.
Assist with preparing, maintaining, and timely filing Form ADV and other required regulatory filings.
Support the Firm’s annual compliance program review under Rule 206(4)-7 of the Investment Advisers Act of 1940.
Participate in compliance risk assessments, monitoring, testing, and reviews; document findings and help track remediation.
Coordinate with external compliance consultants and legal counsel, as appropriate.
Assist with regulatory examinations, inquiries, and information requests.
Identify opportunities to improve compliance processes using technology, automation, data analysis, and artificial intelligence tools.
Participate in special projects and other compliance initiatives as assigned by the CCO or Associate Directors of Compliance.