EP Wealth Advisors, LLC (“EPWA”) is a wealth management advisory firm with over $4 Billion in AUM as of December 31, 2018, serving predominately high net worth individuals in California and Colorado. EPWA is currently seeking an experienced individual for the position of Compliance Analyst.This newly created position would work directly with and report to the firm’s Chief Compliance Officer (“CCO”) from our Torrance, CA office and would assist in implementing, managing the regulatory compliance programs for the firm. The Compliance Analyst will work with a Compliance Associate and assist the CCO in managing and maintaining the firm’s overall culture of compliance.
Duties and Responsibilities
- Oversee record management and maintenance duties involving the firm’s Compliance Management Software systems;
- Complete reporting functions and prepare documents for review by CCO;
- Implement and monitor projects and tasks as directed by CCO;
- Enforce and monitor policies and procedures developed across the firm meet regulatory and control requirements, delegate responsibility for implementation of policies and the development of procedures when required;
- Establish and implement day-to-day monitoring processes of all compliance related policies and procedures;
- Effectively communicate regulatory and procedural changes and/or important issues to firm employees and/or management and any affected business units;
- Assist CCO with compliance program reviews and audits, including, annual review of firm pursuant to Rule 206(4)-7 under the Advisers Act;
- Act as liaison for compliance consultant;
- Oversee vendor management and due diligence program and provide status reports to CCO;
- Maintain business continuity and disaster recovery arrangements for all locations;
- Lead new compliance initiatives and present outcomes including systems and process improvement initiatives to CCO;
- Conduct compliance orientation and training sessions and maintain training materials as necessary;
- Adhere to all company policies and procedures and perform business functions with focus on consistency, quality, and compliance
- Minimum 4 years’ experience in auditing, compliance risk position, preferably in Register Investment Advisor space
- 4 years of experience in a financial services regulated environment.
- Compliance Designation preferred but not required.
- Proficiency in Microsoft Office suite with expertise in Microsoft Word and Excel.
- Schwab Compliance Technology or other Compliance management software preferred
- Strong attention to detail and accuracy.
- Ability to multi-task and work well under pressure.
- Comfortable working in a fast-paced office environment with varying deadlines.
- Exceptional written and verbal communication skills
- Superior organization skills and dedication to completing projects in a timely manner.
- Strong interest in compliance and risk management functions.
- Familiarity with firm related compliance policies and procedures, and a willingness to learn governing regulations and best practices, which include, amongst others, The Investment Advisers Act of 1940, Securities and Exchange Act of 1934