Associate Director of Compliance

EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $31 billion in AUM as of December 31st, 2024, serving predominately high net worth individuals. EPWA fosters an inclusive environment that offers opportunities for our associates to learn, grow and enhance their skills to take on new challenges to progress in their professional careers.

Our HQ office in Greater Los Angeles, CA is hiring for an Associate Director, Compliance. The Associate Director, Compliance will support and advance the overall Investment, Cyber, Fraud, and Mergers & Acquisitions oversight of EPWA’s compliance program. This will include working on overall design, implementation, and ongoing protocols in place to address the compliance requirements for EPWA’s evolving and growing Investment, Cyber, Fraud, and Mergers & Acquisitions business, working with the Managing Director, Compliance and Risk. This role will ensure continual process enhancement consistent with changes in the business and regulations, and will assist and advance in the design, implementation and monitoring of protocols and systems used to address compliance oversight and matters that arise in a dynamic and growing organization. You will join a team of dynamic, collaborative, and client-focused professionals who are focused on delivering on our founding core values: Integrity, Entrepreneurial, Inclusion and Connection.

Salary Range: $115,000 - $140,000 plus annual bonus
• Responsible for the day-to-day compliance oversight of EPWA’s Investment, Cyber, Fraud, and Mergers & Acquisitions; including the oversight of Compliance Analysts with coverage over these areas, escalating issues to EPWA’s Managing Director when appropriate.
• Responsible for the approval and review of new accounts, including the review of asset allocations for suitability within EPWA’s existing processes, as well as reviewing account onboarding documentation for consistency with EPWA policies and procedures.
• Works to ensure that the activities of EPWA business are following applicable federal and state laws and regulations (i.e., SEC, ERISA, and various states, as applicable), keeping EPWA’s Managing Director apprised of developments along the way.
• Collaborates with M&A, Partnership Integrations and other support staff to continue the development of and perform appropriate transition of Partner to confirm that regulatory expectations and EPWA’s policies and procedures are applied.
• Supports overall due diligence needs related to EPWA’s M&A business.
• Develops, maintains, and manages EPWA’s Annual Review Compliance Testing Matrix related to EPWA’s Investment, Cyber, Fraud, and Mergers & Acquisitions business, and works with the Managing Director and Risk Manager to review and update the firm’s risk assessment matrix.
• Assist in the development and/or revising of procedures designed to ensure compliance with the Investment Advisers Act and related DOL requirements.
• Resolves complex problems independently using a combination of technical and business experience in written and verbal form.
• Participate in and contribute to compliance projects, as necessary.

Qualifications
• Bachelor’s degree and/or 5+ years of compliance experience of increasing responsibility in a Registered Investment Advisory firm or equivalent setting.
• Experience working with and overseeing from a compliance standpoint teams across the country.
• Applies expertise and knowledge or in-depth experience of several functional areas.
• Skilled in identifying problems/making decisions (e.g., prioritization of tasks; interpretation of rules and policies) with in-depth knowledge of regulations and interpretations under the Investment Adviser Act of 1940 and applicable DOL rules and requirements.
• Proven ability to be self-motivated with specific areas of responsibility while also being a
• team player for the broader cross-organizational compliance team.
• Supports the establishment of project objectives, checkpoints, and timeliness to meet project tasks and expectations.
• Excellent communication (verbal and written), analytical, interpersonal, and presentation skills.
• Detail-oriented with the ability to establish priorities, work independently, handle interruption and proceed with objectives without supervision.
• Ability to work with all levels of the firm, including senior management.
• Exercises good judgment with the ability to make timey and sound decisions, not only from a compliance perspective but also from a business perspective.
• Highly motivated (self-starter) with a team player and collaborative approach to work.
• Ability to work with all levels of management, with a positive solutions-based approach.
• Versatility, flexibility, and a willingness to work with changing priorities with enthusiasm.

What We Offer

We offer a highly competitive suite of holistic benefits designed to help our team members balance their personal and professional life commitments. These include options designed to encourage employee's health, happiness, and financial well-being.
• 11 Paid Holidays
• 3 Weeks (PTO)
• Paid Parental Leave
• Paid Volunteer Time
• Flexible Work Schedule
• Highly subsidized Health, Dental, and Vision Plans
• 401k Retirement Account with company match contributions
• Free Mental Health services, Life Insurance, Long & Short-Term Disability Insurance
• Flexible Spending Accounts and Health Savings Accounts
• Employee Financial Education
• Employee Educational Expense Reimbursement
• Employee Charitable Donations
• Employee Referral Incentives
• Employee Team Building Activities
• Employee Assistance Program
• Complimentary Food and Snacks

#LI-Hybrid

EPWA is an equal opportunity employer. Prospective employees will receive consideration without discrimination because of race, creed, color, sex, gender, gender expression, gender identity, sexual orientation, age, religion, national origin, ancestry, mental disability, physical disability, medical condition, genetic information, marital status, military and veteran status, or any other basis protected by law.

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