Newport Beach, CA
Posted 1 month ago

Compliance Associate | Newport Beach, CA

Job Description

We are currently seeking qualified candidates to join Beacon Pointe Advisors a Compliance Associate in our Newport Beach, CA office. This position reports to the Director of Compliance to participate in the development, implementation, maintenance, and testing of Beacon Pointe’s compliance program. Responsibilities will include providing administrative support to the Compliance team; helping manage the firm’s compliance tasks and compliance program.

We are looking for a self-motivated, detail-oriented candidate with strong analytical skills who will excel in a fast-paced, team-oriented environment. The ideal candidate will have a background in the investment advisory or financial services industry, and a basic knowledge of the rules and regulations applicable to registered investment advisers.



  • Provide administrative support services to the Director of Compliance
  • Assist in conducting compliance reviews of the firm’s partner offices
  • Maintain, update, and oversee the compliance monitoring tools to aid in the adherence to client guidelines and the enforcement of the firm’s Code of Ethics and Policies and Procedures
  • Assist in completing and reviewing compliance and due diligence questionnaires
  • Compile and prepare required data and reporting information for various regulatory filings (e.g., Forms 13F, ADV, etc.)
  • Perform various tasks, tests, reconciliation, and documentation in support of meeting compliance objectives
  • Assist with other projects as assigned
  • Other duties, as assigned



  • Bachelor’s Degree or an equivalent combination of experience, education, and training
  • 1-3 years of work experience in the financial services industry, preferably in investment advisor compliance
  • Communicate effectively, both in writing and verbally, across all organization levels
  • Must be detail-oriented and function with a high degree of accuracy
  • Must be self-motivated, flexible, and adaptable to changing priorities
  • Work independently as well as collaboratively within a team environment
  • Ability to multi-task and manage multiple projects while meeting competing deadlines
  • Proficient in MS Office applications (Outlook, Word, Excel, Power Point, Teams)
  • Knowledge of the following software is a plus but not required:
  • Salesforce
  • Schwab Compliance Technologies/My Compliance Office
  • Tamarac Advisor View
  • Smarsh


Interested Candidates:  Please complete the brief assessment that is part of the application process. Once completed, please add your resume to complete your profile.


About the Beacon Pointe Family of Companies

Beacon Pointe Advisors is a multi-billion-dollar Registered Investment Advisor with headquarters in Southern California and affiliate offices nationwide. Beacon Pointe provides clear and objective investment advice, solely advocating for our diverse group of clients including institutions (i.e., endowments, foundations), high-net-worth individuals and families. Our advisors’ extensive expertise and strong commitment to our clients can be seen through numerous awards, including being recognized by Bloomberg, Forbes, Financial Advisor Magazine, CNBC, Barron’s and more. For more information, please visit www.beaconpointe.com.

Job Features

Job CategoryCompliance

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