Newport Beach, California
Posted 2 weeks ago

Compliance Associate | Newport Beach, California


Job Description

We are currently seeking qualified candidates to join Beacon Pointe as a Compliance Associate in our Newport Beach, CA office. The candidate will be responsible for supporting the development, implementation, maintenance and testing of the firm’s compliance program. The Compliance Associate will also be responsible for providing administrative support to the Compliance team; helping manage the firm’s compliance tasks and compliance program. The candidate will have a demonstrated track record of both educational and professional achievement; with a commitment and passion for delivering exceptional service to the firm’s employees. The candidate will join a highly talented team of wealth management and client service professional responsible for delivering superior service to sophisticated, high net worth individuals and large complex institutions.



  • 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
  • Additional duties may entail participation in team projects and assisting with initiatives designed to streamline firm policies and procedures.



  • 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
    • 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 Beacon Pointe Advisors

Beacon Pointe Advisors is a Registered Investment Advisor with headquarters in Southern California, 17 affiliate offices nationwide and 200+ employees. 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


Beacon Pointe provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Job Features

Job CategoryClient Service & Operations

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