Compliance Specialist

Description We are seeking a detailed oriented and analytical professional to join our compliance team as a Compliance Specialist . This individual will work closely with our Chief Compliance Officer in administering our firm’s compliance program. This position helps ensure compliance with the Investment Advisers Act of 1940, SEC rules, and firm policies while promoting a culture of fiduciary responsibility, risk management, and regulatory excellence. Why Aldrich Wealth Aldrich Wealth is a dynamic, fast-growing, and established independent registered investment advisor (RIA) at the forefront of the industry. As an RIA that provides a broad array of financial services to high net worth individuals and corporate retirement plans, we have been recognized by Oregon Business Magazine and San Diego Business Journal as Best Places to Work in both our Oregon and California regions and manage approximately $7 billion in assets. Our holistic approach, paired with high-touch service, weaves together financial planning, wealth-building, wealth-preservation, and life goals. We guide our clients through today's financial complexities to protect and grow their financial assets for tomorrow. Check out more about Aldrich at https://wealthadvisors.com/. Requirements What You Bring to the Team Bachelor’s degree from an accredited college/university or applicable years of experience in the Financial Services industry. Minimum of 3 years of experience of SEC regulatory compliance experience. Experience in applying industry regulatory requirements and developing, implementing, and maintaining written compliance policies and procedures. Series 65 license or other qualifying professional designation. Experience supporting an SEC-registered RIA strongly preferred. Preferred: IACCP, NSCP, or other Compliance designation or license. You'll Get a Chance To Maintain and update compliance policies, procedures, and controls to ensure compliance with applicable SEC and state securities rules and regulations. Assist with compliance projects and initiatives involving business lines, providing compliance guidance and advice, and evaluating risk. Respond to customer inquiries and resolve issues promptly and courteously. Create and deliver compliance training/education for existing and new employees. Evaluate operational issues and gaps against regulatory requirements and best practices and offer corrective action as appropriate. Maintain and update regulatory disclosures (ADV 1A, 2A, 2B, 3 and 13H). Review marketing and advertising materials for compliance with the SEC Marketing Rule. Administer the firm's Code of Ethics, including personal trading, gifts, outside business activities, and annual certifications. Coordinate annual 206(4)-7 review and DOL PTE 2020-02 retrospective review and issue written reports to management. How We'll Reward You At Aldrich, we know a great client experience starts with an exceptional employee experience. Aldrich offers a comprehensive benefits package that includes: Comprehensive Health Benefits and Retirement Savings: Medical, dental, and vision insurance Life and disability insurance Health savings (annual contribution of $1,500), flexible spending accounts, and dependent care benefits 401(k) plan with 1.5% match and 5% annual discretionary profit sharing Generous Time Off: 4 weeks of vacation and sick leave combined into a Paid Time-Off bank 10 Paid Holidays, including two Floating Holidays 16 Hours of Volunteer Time Paid Sabbaticals and Paid Parental Leave This information is provided in compliance with applicable state equal pay and pay equity legislation. It is in the company’s good faith and reasonable estimate of the compensation range and benefits offered for this position. At Aldrich, it is not typical for an individual to be hired at or near the top of the range for their role, and compensation decisions are dependent on facts and circumstances of each candidate. The compensation offered may vary based on factors including experience, skills, education, location, and other job-related reasons. Aldrich makes internal equity a consideration in all pay decisions. A reasonable estimate of the current range for the exempt full-time position is $95,000-$120,000 DOE. You may also be eligible to participate in a variable compensation program. For a full summary of our benefit offerings, check out Life at Aldrich here . What You Should Know This is a full-time position. Our standard office hours are Monday – Friday, 8 AM – 5 PM. This is a full-time hybrid position in our Lake Oswego, Oregon office. Candidates must be legally authorized to work in the United States without the need for employer sponsorship. To Apply Please submit your resume and cover letter (optional). We do not accept agency resumes and are not responsible for any fees related to unsolicited resumes. #LI-HYBRID