Compliance Associate

Torrance CaFull Timemid

OtherCompliance Associate

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Quick Summary

Overview

EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $44.1 billion AUM as of March 31, 2026, serving predominately high net worth individuals.

Technical Tools

OtherCompliance Associate

EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $44.1 billion AUM as of March 31, 2026, 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.

The Compliance Associate role will work directly with and report to the Associate Director of Compliance and the Chief Compliance Officer (“CCO”), in addition to working directly with other members of the Compliance Department and other firm staff. The Compliance Associate will assist in implementing and managing the regulatory compliance programs for the firm and will assist the AD and CCO in managing and maintaining the firm's overall culture of compliance. This position requires strong attention to detail, organizational skills, and the ability to collaborate effectively across departments in a fast-paced environment. The role requires a confident and proactive professional who is comfortable addressing compliance matters with employees at all levels of the organization, proving clear guidance and escalating concerns when appropriate.

You will join a team of dynamic, collaborative, and client-focused professionals who are focused on delivering our founding core values: Integrity, Entrepreneurial, Inclusion and Connection.

Responsibilities

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Assist in day-to-day monitoring of all compliance related policies and procedures;
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Assist with compliance program reviews and audits;
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Heavy data entry, filing and maintenance duties involving the firm's Compliance Management Software systems;
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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;
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Effectively communicate regulatory and procedural changes and/or important issues to firm employees and/or management and any affected business units;
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Assist in implementing and enforcing compliance policies and procedures;
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Running reports and retrieving documents and files when requested;
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Implement and monitor projects and tasks as directed by AD;
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Assist with new compliance initiatives; and other special projects and ad hoc duties as assigned by the AD & CCO

This is a hybrid position requiring a combination of on-site and remote work, based out of one of the following locations: Torrance, CA; Salt Lake City, UT; Boston, MA; or Media,

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2+ years' experience in an administrative capacity, in the Registered Investment Adviser space preferred.

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1-3 years of experience in financial services regulated environment preferred.

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Ability to work in a team-oriented environment.

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Strong interest in compliance and risk management functions.

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Proficiency in Microsoft Office suite with expertise in Microsoft Word and Excel.

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Strong attention to detail and accuracy.

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Ability to multi-task and work well under pressure.

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Comfortable working in a fast-paced office environment with varying deadlines.

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Exceptional written and verbal communication skills

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Superior organization skills and dedication to completing projects in a timely manner.

What We Offer

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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

✓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