Pacific Sage Partners is proud of the culture that has been created within the organization.  One of those centers around a culture of compliance.  We do not just aim to meet all regulatory requirements, but rather look to build an organization that sets a standard. 

 

This position is responsible for the daily process of executing compliance tasks for Pacific Sage Partners.  These tasks include both the review of all compliance-related processes and building and improving these processes.  This critical role is designed to help continue to build a culture of compliance within our organization.  There may also be other duties assigned to support the day-to-day operations of Pacific Sage Partners.

 

Responsibilities

-          Primary focus is to ensure that Pacific Sage Partners, with the help of our compliance partner, is meeting all requirements of our regulated entity

-          Maintain the compliance daily, weekly, and monthly compliance calendar

o    Daily/Weekly/Monthly task examples (this is not a complete list)

§  Review of trade blotters

§  Ensure check blotter is maintained properly

§  Maintain all necessary logs

§  Rollover Review process

§  Organization of Quarterly Compliance meetings

§  Create processes and procedures to take advantage of the tools provided by our compliance vendor

-          Work with the operational team and advisors to ensure Pacific Sage Partners has proper checks and balances in place

-          Special projects will be assigned

 

Qualifications

-          Knowledge of the RIA industry

-          Very detail-oriented; strong attention to detail and accuracy

-          Excellent technical skills

-          Organizational skills

-          Strong analytical skills and proficiency in MS Office

-          An ability to review and improve processes

-          Excellent written and verbal communication skills

-          As with all roles at Pacific Sage Partners, the Compliance/Operations Associate must be a team player, be a collaborator, have a positive attitude, able to develop effective relationships with diverse people, and be willing to support the entire organization

 

Reporting

-          This role will report to the CCO

Compensation

-          Pay for this position will depend upon years of experience and expertise

-          Range: $55,000 – $80,000

-          Bonuses available for both excellent individual performance and firm performance

-          Benefits include:

o   Health care (medical/dental/vision), life insurance

o   401(k) Plan with Company match

o   PTO