We are looking for a Compliance Assistant with experience at a mid-large Wealth Advisory company. The ideal candidate will have high integrity, excellent communication skills, and professional experience with compliance projects in a high-paced growth environment.
JOB DUTIES
Work directly with the Chief Compliance Officer (CCO) and other Compliance team members to assist in audits, investigations, and regulatory reporting. Daily tasks will include:
Compliance auditing.
Regulatory reporting and disclosure review.
Policy formation, execution, and enforcement.
Employee training.
Project coordination working with multiple teams across the business.
TECHNICAL/FUNCTIONAL COMPETENCIES
Desire to learn and contribute in a team setting.
Collaborative, service-minded, chooses to do the right thing, and follows through on their word.
Ability to follow and implement policies and procedures.
Detail-oriented, accurate, organized, and able to set priorities.
Displays initiative and is self-driven; works proactively.
Ability to work successfully in a rapidly growing company environment.
QUALIFICATIONS
3-5 years' experience at a mid-large Wealth Advisory company (RIA).
Bachelor's Degree in business-related major or equivalent experience.
ABOUT EXENCIAL WEALTH ADVISORS
Exencial Wealth Advisors is a comprehensive financial planning firm providing advice on investment management, tax, financial planning, and estate planning. We put our clients' needs first and foremost because we believe that driving their success drives ours as well.
Exencial manages around $5.2 billion in Oklahoma, Texas, North Carolina, Connecticut, Florida, California, and Ohio with around 107 employees. We are pursuing growth both organically and inorganically as we focus on building a great company, with great people, driving great results.
Join us in serving clients as a fiduciary!
Exencial provides equal employment opportunities to applicants and employees without regard to race, color, religion, sex, sexual orientation, national origin, protected veteran status, or disability status.