Compliance Specialist

Aldrich Wealth LP • Lake Oswego, OR

8d • $95,000 - $120,000 • Hybrid

About The Position

We are seeking a detailed oriented and analytical professional to join our compliance team as a Compliance Specialist. This individual will work closely with our Chief Compliance Officer in administering our firm’s compliance program. This position helps ensure compliance with the Investment Advisers Act of 1940, SEC rules, and firm policies while promoting a culture of fiduciary responsibility, risk management, and regulatory excellence.

Aldrich Wealth is a dynamic, fast-growing, and established independent registered investment advisor (RIA) at the forefront of the industry. As an RIA that provides a broad array of financial services to high net worth individuals and corporate retirement plans, we have been recognized by Oregon Business Magazine and San Diego Business Journal as Best Places to Work in both our Oregon and California regions and manage approximately $7 billion in assets.

Our holistic approach, paired with high-touch service, weaves together financial planning, wealth-building, wealth-preservation, and life goals. We guide our clients through today's financial complexities to protect and grow their financial assets for tomorrow.

Check out more about Aldrich at https://wealthadvisors.com/.

Requirements

• Bachelor’s degree from an accredited college/university or applicable years of experience in the Financial Services industry.
• Minimum of 3 years of experience of SEC regulatory compliance experience.
• Experience in applying industry regulatory requirements and developing, implementing, and maintaining written compliance policies and procedures.
• Series 65 license or other qualifying professional designation.
• Candidates must be legally authorized to work in the United States without the need for employer sponsorship.

Nice To Haves

• Experience supporting an SEC-registered RIA strongly preferred.
• IACCP, NSCP, or other Compliance designation or license.

Responsibilities

• Maintain and update compliance policies, procedures, and controls to ensure compliance with applicable SEC and state securities rules and regulations.
• Assist with compliance projects and initiatives involving business lines, providing compliance guidance and advice, and evaluating risk.
• Respond to customer inquiries and resolve issues promptly and courteously.
• Create and deliver compliance training/education for existing and new employees.
• Evaluate operational issues and gaps against regulatory requirements and best practices and offer corrective action as appropriate.
• Maintain and update regulatory disclosures (ADV 1A, 2A, 2B, 3 and 13H).
• Review marketing and advertising materials for compliance with the SEC Marketing Rule.
• Administer the firm's Code of Ethics, including personal trading, gifts, outside business activities, and annual certifications.
• Coordinate annual 206(4)-7 review and DOL PTE 2020-02 retrospective review and issue written reports to management.

Benefits

• Medical, dental, and vision insurance
• Life and disability insurance
• Health savings (annual contribution of $1,500), flexible spending accounts, and dependent care benefits
• 401(k) plan with 1.5% match and 5% annual discretionary profit sharing
• 4 weeks of vacation and sick leave combined into a Paid Time-Off bank
• 10 Paid Holidays, including two Floating Holidays
• 16 Hours of Volunteer Time
• Paid Sabbaticals and Paid Parental Leave

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level