Position Responsibilities

Compliance Associates will be required to:

• read and understand technical and legal documents (e.g., rules and regulations, contracts, policies and procedures, forms, reports, statements, marketing materials, etc.).

• reconcile data to complete regulatory filings (such as ADVs, Form CRS, Form D, Form PF, Form 13F, etc.).

• calculate and manipulate data from extensive Excel spreadsheets to compare, reconcile, and identify areas of weakness, ensure consistency with written policies, and/or confirm adherence with rules and regulations.

• complete reviews of firm employee emails for compliance with firm policies.

• document the results of their findings in Excel and prepare summary reports in Word.

Although it will not be a primary role, the Compliance Associate may be responsible for certain administrative tasks which will be assessed based on that individual’s strengths. Training is provided for all position responsibilities, as needed.

Required Qualifications

• education or experience with compliance, finance, legal, accounting, or economics

• a desire to evaluate information against a set of standards and ensure that it is correct

• strong attention to detail

• the ability to work with little or no supervision

• the ability to effectively use resources and work in a reliable and responsible manner

• proficiency with Microsoft Excel and Word

• good technical writing skills

• a propensity toward information gathering, examining information, asking questions, listening, understanding the implications, and using logic and creativity to solve problems

• strong organizational skills

• an awareness of the needs of others

• the ability to supportively work with colleagues and, eventually, clients

• the ability to be personable, professional, articulate, and pragmatic in communications and correspondence

• the ability to move quickly and correctly between multiple activities

• a desire to take on new responsibilities and challenges

Preferred Qualifications

• bachelor’s degree

• financial industry experience working with or for registered investment advisers

• understanding of the Investment Advisers Act of 1940

• experience with the annual review process including testing and documentation

• experience participating in an SEC exam

Remote Position Details

Candidates can work from any suitable remote location in the United States. The firm will provide the tools and equipment necessary to set up a home office and the training to facilitate the safeguarding of client information at their home office and while traveling. Working remotely does serve its own challenges, so it is imperative that the candidate possesses excellent communication skills and is proactive in discussing workflow with the team. The firm provides a flexible work schedule as long as the candidate is accessible, communicative, and completes work timely at a high level.

Professional Growth

Although not required nor expected, the candidate will have ample opportunity for personal and professional growth. We want to tailor your position to highlight your strengths as you work with us, and we learn more about you. The Compliance Associate may initially be back-office only with the potential to be client-facing and an opportunity for promotion to an advising role as a Compliance Consultant.  Expectations for promotion include but are not limited to, obtaining a compliance credential (either CSCP or IAACP) and the ability to effectively communicate and consult with clients on rules and regulations, which are located across the United States.  

Salary and Benefits

$50-$60k, depending on experience

Employer-sponsored benefits include:

• Health Insurance

• Short Term Disability

• 401K with a 3% match

• Monthly cellphone/internet reimbursement $130

• 15 days of paid time off (combined vacation and sick time) during the first year of employment; PTO increases after the first year of employment.

• Fully Remote and Flexible Position

Company Information

Headquartered in Medford, Oregon, SEC Compliance Solutions (“SCS”) has been helping new investment advisers, established RIAs, and private fund advisers nationwide streamline their compliance since 2017. The financial industry can be fast-paced, but at SCS, we stay calm and keep things practical and balanced; both for our clients and our employees.

Contact

If you have any questions or are interested in this role, please submit your cover letter and resume to careers@seccsllc.com. All inquiries will be held in the strictest confidence.