Compliance Associate

About Empirical Wealth Management

Empirical Wealth Management is a rapidly growing financial services firms, currently directing the financial lives and managing assets for hundreds of individuals and businesses. We seek high caliber individuals who will succeed in a high opportunity business environment. Since opening in 2006, we have organically grown to over $7B in AUM through steady referrals from our clients and business partners. Our goal is to get to $10B in the next couple years and to continue opening offices across the country.

Our Culture

Empirical is truly unique. We believe that each employee is a valuable contributor to the overall effectiveness of the firm. The sharing of concepts and ideas is paramount to the growth of each employee, so we believe in cultivating an environment that promotes collaborative development. Our employees are passionate about the work they do and want to inspire that work ethic into those around them.

Responsibilities for Compliance Associate

As the Compliance Associate, you will work closely with the Chief Compliance Officer to :

• Maintain compliance policies and protocols on behalf of the organization
• Develop and implement a compliance program to ensure the organization operates in accordance with federal securities laws
• Review marketing and advertising collateral to ensure it is compliance
• Maintain and update internal compliance reporting tools : employee personal trading, outside business activity, Code of Ethics and other certifications
• Remain up to date on federal laws related to the organization and update policies accordingly
• Perform compliance audits to determine whether establish protocols are being followed and where they can be improved
• Maintain up to date written documentation and policies related to the organization's business activities
• Create and maintain compliance resource library for staff members to reference when they have questions
• Onboard and train new and existing staff based on roles and responsibilities.
• Preparing and filing forms and disclosures with regulators (SEC, FINRA, etc.)

Qualifications for Compliance Officer

Compensation

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