EP Wealth Advisors
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Pay found in job post Retrieved from the description.
Base pay range $31.25/hr - $36.06/hr
Overview EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $36.4 billion in AUM as of June 30, 2025, serving predominately high net worth individuals. EPWA fosters an inclusive environment that offers opportunities for our associates to learn, grow and enhance their skills to take on new challenges to progress in their professional careers.
Our Headquarter office located in Torrance, CA is hiring for a Compliance Associate. The Compliance Associate will be introduced to all aspects of the firm’s Compliance and Regulatory program including rules, policies, procedures and best practices by working alongside and supporting the firm’s Compliance Analysts in their areas of concentration. The Compliance Associate will assist in implementing, managing the regulatory compliance programs for the firm and will assist in managing and maintaining the firm\'s overall culture of compliance. You will join a team of dynamic, collaborative, and client-focused professionals who are focused on delivering on our founding core values: Integrity, Entrepreneurial, Inclusion and Connection.
Salary Range: 31.25 - 36.06 per hour plus annual bonus
Responsibilities
Heavy data entry, filing and maintenance duties involving the firm\'s Compliance Management Software systems
Running reports and retrieving documents and files when requested
Implement and monitor projects and tasks as directed by the Associate Director
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
Assist the Associate Director and Compliance Analyst in implementing and enforcing compliance 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 the Associate Director in day-to-day monitoring of all compliance related policies and procedures
Assist Associate Director and Compliance Analyst with compliance program reviews and audits, including, annual review of firm pursuant to Rule 206(4)-7 under the Advisers Act
Effectively communicate with compliance consultant
Assist the Associate Director and Compliance Analyst with new compliance initiatives
Other special projects and ad hoc duties as assigned by the Associate Director
Qualifications
2+ years\' experience in an administrative capacity, in the Registered Investment Advisor space preferred
1-3 years of experience in financial services regulated environment preferred
Ability to work in a team-oriented environment
Proficiency in Microsoft Office suite with expertise in Microsoft Word and Excel
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
What We Offer We offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee\'s health, happiness, and financial well-being.
11 Paid Holidays + 2 floating Holidays
3 Weeks (PTO)
Paid Volunteer Time
Flexible Work Schedule
Highly subsidized Health, Dental, and Vision Plans
401k Retirement Account with company match contributions
Free Mental Health Services, Life Insurance, Long & Short-Term Disability Insurance
Flexible Spending Accounts and Health Savings Accounts
Employee Financial Education
Employee Educational Expense Reimbursement
Employee Charitable Donations
Employee Referral Incentives
Employee Team Building Activities
Employee Assistance Program
Equal Opportunity EPWA is an equal opportunity employer. Prospective employees will receive consideration without discrimination because of race, creed, color, sex, gender, gender expression, gender identity, sexual orientation, age, religion, national origin, ancestry, mental disability, physical disability, medical condition, genetic information, marital status, military and veteran status, or any other basis protected by law.
Seniority level Entry level
Employment type Full-time
Job function Finance and Sales
EPWA is an equal opportunity employer. Prospective employees will receive consideration without discrimination because of race, creed, color, sex, gender, gender expression, gender identity, sexual orientation, age, religion, national origin, ancestry, mental disability, physical disability, medical condition, genetic information, marital status, military and veteran status, or any other basis protected by law.
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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Get AI-powered advice on this job and more exclusive features.
Pay found in job post Retrieved from the description.
Base pay range $31.25/hr - $36.06/hr
Overview EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $36.4 billion in AUM as of June 30, 2025, serving predominately high net worth individuals. EPWA fosters an inclusive environment that offers opportunities for our associates to learn, grow and enhance their skills to take on new challenges to progress in their professional careers.
Our Headquarter office located in Torrance, CA is hiring for a Compliance Associate. The Compliance Associate will be introduced to all aspects of the firm’s Compliance and Regulatory program including rules, policies, procedures and best practices by working alongside and supporting the firm’s Compliance Analysts in their areas of concentration. The Compliance Associate will assist in implementing, managing the regulatory compliance programs for the firm and will assist in managing and maintaining the firm\'s overall culture of compliance. You will join a team of dynamic, collaborative, and client-focused professionals who are focused on delivering on our founding core values: Integrity, Entrepreneurial, Inclusion and Connection.
Salary Range: 31.25 - 36.06 per hour plus annual bonus
Responsibilities
Heavy data entry, filing and maintenance duties involving the firm\'s Compliance Management Software systems
Running reports and retrieving documents and files when requested
Implement and monitor projects and tasks as directed by the Associate Director
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
Assist the Associate Director and Compliance Analyst in implementing and enforcing compliance 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 the Associate Director in day-to-day monitoring of all compliance related policies and procedures
Assist Associate Director and Compliance Analyst with compliance program reviews and audits, including, annual review of firm pursuant to Rule 206(4)-7 under the Advisers Act
Effectively communicate with compliance consultant
Assist the Associate Director and Compliance Analyst with new compliance initiatives
Other special projects and ad hoc duties as assigned by the Associate Director
Qualifications
2+ years\' experience in an administrative capacity, in the Registered Investment Advisor space preferred
1-3 years of experience in financial services regulated environment preferred
Ability to work in a team-oriented environment
Proficiency in Microsoft Office suite with expertise in Microsoft Word and Excel
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
What We Offer We offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee\'s health, happiness, and financial well-being.
11 Paid Holidays + 2 floating Holidays
3 Weeks (PTO)
Paid Volunteer Time
Flexible Work Schedule
Highly subsidized Health, Dental, and Vision Plans
401k Retirement Account with company match contributions
Free Mental Health Services, Life Insurance, Long & Short-Term Disability Insurance
Flexible Spending Accounts and Health Savings Accounts
Employee Financial Education
Employee Educational Expense Reimbursement
Employee Charitable Donations
Employee Referral Incentives
Employee Team Building Activities
Employee Assistance Program
Equal Opportunity EPWA is an equal opportunity employer. Prospective employees will receive consideration without discrimination because of race, creed, color, sex, gender, gender expression, gender identity, sexual orientation, age, religion, national origin, ancestry, mental disability, physical disability, medical condition, genetic information, marital status, military and veteran status, or any other basis protected by law.
Seniority level Entry level
Employment type Full-time
Job function Finance and Sales
EPWA is an equal opportunity employer. Prospective employees will receive consideration without discrimination because of race, creed, color, sex, gender, gender expression, gender identity, sexual orientation, age, religion, national origin, ancestry, mental disability, physical disability, medical condition, genetic information, marital status, military and veteran status, or any other basis protected by law.
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr