Pathstone
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Senior Associate, Compliance
role at
Pathstone . Company Description:
Pathstone is a dynamic, growing wealth management firm that serves ultra-high net worth families, single family offices, and foundations and endowments. We offer a comprehensive range of services including tax planning and compliance, insurance and risk management, lifestyle management, wealth and estate planning, trust services, and philanthropy services. Pathstone has 20+ office locations and more than $100 billion in assets under advisement and administration. As a Certified B Corporation, Pathstone aims to make a difference for clients and families while providing a positive work environment. We offer competitive benefits, including medical, vision, dental, flexible spending, PTO, life insurance, education support, 401k, parental leave, and more. Principle Purpose of Job:
To ensure the firm adheres to regulations, mitigates risks, and maintains a strong compliance culture. This role involves monitoring, reporting, and providing guidance on regulatory changes, in addition to light administrative work. Responsibilities
Monitor regulatory changes affecting investment advisers, assess their impact on firm operations, and help implement required changes. Ensure the firm’s policies and procedures comply with current regulatory requirements and are effectively implemented. Promote a strong compliance culture within the organization. Prepare for and support regulatory examinations and audits. Support the Compliance team with administrative activities and tasks. Assist with team onsite meeting agendas, scheduling of sessions, and team events, etc. Provide additional support on special projects as needed. Check and respond to email as necessary. Co-author, edit, and proofread written communication. Schedule Compliance Team meetings (trainings, onsite visits, project meetings, reviews). Maintain organized electronic files for Pathstone’s documents. Assist with internal (employee) and external (auditors, vendors, consultants) inquiries and requests. Help with surveillance, monitoring, and testing as part of the firm’s holistic compliance program. Manage the review process of marketing materials for compliance with the SEC’s Marketing Rule and manage the approval workflow. Additional responsibilities as directed. Qualifications
Education: Bachelor’s degree required. Work Experience: 3 years of administrative and clerical experience in a professional office setting. Investment industry experience is a plus. Registered investment adviser compliance experience or knowledge is a plus. Required Knowledge: Proficiency with Microsoft Office Suite; Teams; Salesforce or similar CRM is desirable. Experience with Compliance Management Software and/or custodial platforms is beneficial. Required Skills and Abilities: Strong communication, organization, attention to detail, analytical thinking, collaboration, problem solving, adaptability, and ability to handle sensitive information with confidentiality. Ability to work independently and in a team, and to prioritize in a fast-paced environment. Pay and Visa
Pay Transparency: Pathstone’s expected starting base compensation range for the position is $72,000–$80,000 per year, with potential discretionary bonus. Final base pay is determined based on experience, education, and qualifications. Visa Sponsorship: We are unable to provide visa sponsorship for this position. Equal Opportunity
Pathstone is committed to creating a diverse environment and is proud to be an equal opportunity employer.
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Senior Associate, Compliance
role at
Pathstone . Company Description:
Pathstone is a dynamic, growing wealth management firm that serves ultra-high net worth families, single family offices, and foundations and endowments. We offer a comprehensive range of services including tax planning and compliance, insurance and risk management, lifestyle management, wealth and estate planning, trust services, and philanthropy services. Pathstone has 20+ office locations and more than $100 billion in assets under advisement and administration. As a Certified B Corporation, Pathstone aims to make a difference for clients and families while providing a positive work environment. We offer competitive benefits, including medical, vision, dental, flexible spending, PTO, life insurance, education support, 401k, parental leave, and more. Principle Purpose of Job:
To ensure the firm adheres to regulations, mitigates risks, and maintains a strong compliance culture. This role involves monitoring, reporting, and providing guidance on regulatory changes, in addition to light administrative work. Responsibilities
Monitor regulatory changes affecting investment advisers, assess their impact on firm operations, and help implement required changes. Ensure the firm’s policies and procedures comply with current regulatory requirements and are effectively implemented. Promote a strong compliance culture within the organization. Prepare for and support regulatory examinations and audits. Support the Compliance team with administrative activities and tasks. Assist with team onsite meeting agendas, scheduling of sessions, and team events, etc. Provide additional support on special projects as needed. Check and respond to email as necessary. Co-author, edit, and proofread written communication. Schedule Compliance Team meetings (trainings, onsite visits, project meetings, reviews). Maintain organized electronic files for Pathstone’s documents. Assist with internal (employee) and external (auditors, vendors, consultants) inquiries and requests. Help with surveillance, monitoring, and testing as part of the firm’s holistic compliance program. Manage the review process of marketing materials for compliance with the SEC’s Marketing Rule and manage the approval workflow. Additional responsibilities as directed. Qualifications
Education: Bachelor’s degree required. Work Experience: 3 years of administrative and clerical experience in a professional office setting. Investment industry experience is a plus. Registered investment adviser compliance experience or knowledge is a plus. Required Knowledge: Proficiency with Microsoft Office Suite; Teams; Salesforce or similar CRM is desirable. Experience with Compliance Management Software and/or custodial platforms is beneficial. Required Skills and Abilities: Strong communication, organization, attention to detail, analytical thinking, collaboration, problem solving, adaptability, and ability to handle sensitive information with confidentiality. Ability to work independently and in a team, and to prioritize in a fast-paced environment. Pay and Visa
Pay Transparency: Pathstone’s expected starting base compensation range for the position is $72,000–$80,000 per year, with potential discretionary bonus. Final base pay is determined based on experience, education, and qualifications. Visa Sponsorship: We are unable to provide visa sponsorship for this position. Equal Opportunity
Pathstone is committed to creating a diverse environment and is proud to be an equal opportunity employer.
#J-18808-Ljbffr