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Compliance Analyst - RIA Firm - Irvine, CA

Advisor Employee Services

Irvine, CA | Full Time

$95k-120k (estimate)

2 Days Ago

Compliance Analyst - RIA Firm - Irvine, CA

$95k-120k (estimate)

Full Time 2 Days Ago

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Advisor Employee Services is Hiring a Compliance Analyst - RIA Firm - Irvine, CA Near Irvine, CA

Compliance Analyst

West Wealth Group, LLC in Irvine, CA is seeking to add a Compliance Analyst to our team! The ideal candidate for this role will be someone who has the desire to work in the financial industry long-term and contribute to the growth of our business.

Job Description:

You will play a crucial role in upholding regulatory compliance and ensuring the highest standards of customer service. You will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues. By leveraging your analytical skills and attention to detail, you will contribute to enhancing our organization's reputation and maintaining trust with our clients.

Key Skills:

Strong organizational skills
Excellent communication; written and verbal
Attention to detail and accuracy
Proactive management style and consistent follow-through
Critical thinking skills
Strong judgement and decision making skills
Ability to be a complex problem-solver

Minimum Requirements:

Bachelor’s Degree preferred
Financial Industry experience required
2 years working alongside a Financial Advisor in a fast-paced office environment preferred
Experience with MS Office Suite (especially Excel) and the ability to learn new software quickly
CRM experience
Compliance Training
Risk Management

Responsibilities:

Checking the status of various business operations to ensure compliance with regulations
Conducting tests and studies into the company's product compliance
Advising management on compliance-related matters
Maintaining documentation of compliance activities, such as complaints received or investigation outcomes
Preparing reports by collecting, analyzing and summarizing information
Working with our consulting firm to report violations of compliance or regulatory standards by duly authorized agencies as appropriate
Working with our consulting firm to disseminate written policies and procedures related to compliance activities.
Working with our consulting firm to file appropriate compliance reports with regulatory agencies
Analyzing and updating existing compliance policies and related documentation
Placing Trades

Benefits:

401k after 1 year
Medical, Dental, Vision - after 90 days 100%
PTO

Hours:

Monday-Friday, 8am-5pm
In office days are Tuesday-Thursday, Monday and Friday are remote

Travel:

This position may need to travel to Indian Wells, CA on occasion

Training:

Training will be conducted mostly over Zoom

Presented by Advisor Employee Services Thank you for your interest in the Compliance Analyst role. Advisor Employee Services, a consulting firm located in Overland Park, Kansas, represents the top 1% of financial advisors in all 50 states in their hiring needs. Please take a moment to explore our website and the services provided https://aesplacement.com/. We are not a staffing firm, but together have built a reputable and continuously expanding business model which allows us to pinpoint the exact personnel needs of these established financial advisors. If you feel that you have the skills it takes for the position responsibilities listed, please apply today!