Compliance Associate
EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $49.1 billion in assets under management as of June 30, 2026, serving predominately high net worth individuals. EPWA fosters an inclusive environment that offers opportunities for associates to learn, grow, and enhance their skills to take on new challenges and progress in their professional careers.
About the role
The Compliance Associate will work directly with and report to the Associate Director of Compliance and the Chief Compliance Officer (CCO), as well as collaborate with other members of the Compliance Department and firm staff. This role assists in implementing and managing the firm’s regulatory compliance programs and helps maintain a culture of compliance. The position requires strong attention to detail, organizational skills, and the ability to collaborate effectively across departments in a fast-paced environment. The ideal candidate is a confident and proactive professional comfortable addressing compliance matters with employees at all levels of the organization, providing clear guidance, and escalating concerns when appropriate.
Responsibilities
- Assist in day-to-day monitoring of all compliance-related policies and procedures.
- Assist with compliance program reviews and audits.
- Perform heavy data entry, filing, and maintenance duties involving the firm's Compliance Management Software systems.
- Maintain familiarity with firm-related compliance policies and procedures, and a willingness to learn governing regulations and best practices, including the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
- Effectively communicate regulatory and procedural changes or important issues to firm employees, management, and affected business units.
- Assist in implementing and enforcing compliance policies and procedures.
- Run reports and retrieve documents and files as requested.
- Implement and monitor projects and tasks as directed by the Associate Director.
- Assist with new compliance initiatives and other special projects or ad hoc duties assigned by the Associate Director and CCO.
Requirements
- 2+ years of experience in an administrative capacity; experience in the Registered Investment Adviser space preferred.
- 1-3 years of experience in a financial services regulated environment preferred.
- Strong interest in compliance and risk management functions.
- 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.
Benefits
- 11 paid holidays + 2 floating holidays
- 3 weeks of PTO
- Paid parental leave
- 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- and 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
Pay
Base pay range: $65,000.00 – $73,000.00 per year.
Schedule
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, PA.