Scottsdale, Arizona
Posted 3 months ago

Position Summary:

Beacon Pointe Advisors, LLC seeks a Compliance Associate to participate in the development, implementation, maintenance, and testing of Beacon Pointe’s compliance program.   General responsibilities include providing support to the Compliance team, assisting with compliance and regulatory matters and helping manage the firm’s compliance tasks and compliance program. Position is based out of our Scottsdale, AZ office and will report directly to the Director of Compliance.

We are looking for a self-motivated, detail-oriented candidate with strong analytical skills and high ethical standards, who will excel in a fast-paced, team-oriented environment. Background in the financial/investment industry is preferred.

Key Responsibilities:

  • Assist with the execution, monitoring, and testing of the firm’s compliance policies and procedures
  • Manage the administration of the firm’s employee-monitoring program through Schwab Compliance Technologies®
  • Support the Compliance department to stay on task in the fulfillment of its compliance obligations
  • Maintain logs that record the implementations of the firm’s compliance policies and procedures
  • Assist in managing SEC regulatory obligations and filings (e.g., Form ADV)
  • Carry out periodic testing to assess compliance and operational risks
  • Coordinate firm-wide education and training regarding regulatory compliance obligations
  • Work with teams across the organization on regulatory and compliance matters
  • Assist with compliance-related queries
  • Assist in conducting compliance reviews of the Beacon Pointe’s partner offices
  • Stay current on relevant SEC developments and industry best practices
  • Complete accurate, detailed work, within deadlines


  • Bachelor degree and related industry experience
  • Knowledge of SEC rules and regulations, as it pertains to investment advisers
  • Strong communication skills (written, verbal, listening, presentation)
  • Microsoft Office ® medium to advanced working proficiency

To begin, click on this link (or copy and paste in a new browser window): http://bit.ly/BPComplianceAZ . Please complete the short assessment and attach your resume.  Your candidate profile will be reviewed promptly.  Thank you!

Job Features

Job CategoryClient Service & Operations

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