Associate - Engagement Agreements

The Compliance Associate has varied responsibilities within Aspiriant.  This position provides the assistance to the Chief Compliance Officer in managing, processing, and updating our client contracts (engagement agreements).   Success in the position will require exceptional organizational and administrative skills, as well as the ability to manage towards deadlines.  Occasional travel and after-hours work may be required.  

We are Aspiriant, a leading, independent, 100% employee-owned wealth management firm. Our core values guide us to seek out a broad range of perspectives, talent, and backgrounds to achieve our mission; one where all staff contribute to and share our success. We recognize, respect and value the contributions of each employee, and we strive to cultivate a work environment that strikes an agreeable balance between our professional and personal lives. 

• Collaborative work environment – Together, We Achieve More
• Environment supportive to learning and growing your career
• Continuing education assistance program
• 401(k) with company match
• Bonus program
• Company contribution up to 95% for health insurance
• Hybrid work arrangement

How you will contribute:

• Provide compliance & engagement agreement guidance to employees on a day-to-day basis around engagement agreement policies, procedures, and protocols.
• Review and research engagement agreement requests.
• Ensure all legal and compliance checks are completed prior to execution of a client contract.
• Document preparation of engagement agreements for clients of the firm.
• Management of client contract delivery to clients via DocuSign or postal mail.
• Coordinating and communicating with stakeholders for each engagement agreement.
• Cross-functional collaboration with finance, operations and client practice teams.
• Verifying and processing executed client contracts.
• Update Client Relationship Management system related to engagement agreements.
• Outstanding organizational and time-management skills and ability to create effective processes.
• Perform other duties as assigned.

Is this you?

An ideal candidate will be motivated by our mission to empower families to take control of their financial lives, live their values with clarity and peace of mind, and actualize their dreams. We seek out a wide range of talented team members who share our values and vision. We value intellectual intensity, collaboration, and compassion. A strategic partner once compared us to “a cocker spaniel.” We like the comparison. Our relationships with clients are professional first and foremost. They’re also warm, passionate and genuine. 

The attributes and talents that lead to success in the role are:

Skills:

• Strong analytical skills and methodical troubleshooting.
• Strong customer service orientation; comfortable working independently with all levels of employees.
• Outstanding organizational and time-management skills.
• Attention to detail, strong analytical and problem-solving skills, and superior organization and project management skills.
• Strong Microsoft Excel and PowerPoint skills.

Abilities:

• Capacity to prioritize a variety of tasks and heavy volume of work.
• Ability to work independently as well as under the direction of several people at once.
• Excellent oral and written communications skills within a diverse office environment.

Experience and Education:

We will consider any combination of experience and education which provides the necessary knowledge, skills, and abilities to perform the job. A typical way to acquire the requirements would be:

• 2 to 4 years of previous securities compliance, internal audit, or paralegal experience preferred.
• Knowledge and experience with financial industry best practices in compliance management a plus.
• Bachelor’s degree preferred or equivalent professional experience in business, investments, legal, or a related field.

Physical Demands and Work Environment:

Primarily sedentary work in an office with minimal distractions; walking throughout the office. Learn and memorize tasks; execute tasks independently; apply knowledge and use judgment to manage situations. Occasionally exert up to ten pounds of force to lift, carry, push, pull or otherwise move objects. Perform repetitive motions; substantial movements of the wrists, hands, and fingers for computer keyboard operation. Use near visual acuity to perform an activity such as preparing documents, operating a computer, and reading. Speak and hear to communicate with team members and clients by phone and in-person.

Aspiriant is committed to diversity, inclusion and belonging.  

A diverse and inclusive culture is essential to providing the best to both our clients and our people. Including a variety of perspectives in all that we do is necessary for our innovation and growth. We envision a firm where our people see a community they belong to and an inspiring future…a firm where people can be themselves, learning is limitless, and everyone can thrive.

As an Equal Opportunity Employer that believes in and follows Fair Chance Ordinances, we are committed to employment practices that ensure that employees and applicants for employment are provided with equal opportunities without regard to race, color, national origin, ancestry, sex, age, religion, physical or mental disability, medical condition, veteran status, marital status, pregnancy, sexual orientation, gender identity, genetic information, or any other factor that is not related to the position.

www.aspiriant.com

Aspiriant is a Registered Investment Adviser, subject to SEC regulation, and requires all employees (and at times, family members) to disclose securities holding and transactions. There are also restrictions on trading certain securities. Candidates are encouraged to request further information regarding these policies.