Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

Tailor your resume to this Compliance Analyst - Torrance, West LA, San Francisco, Walnut Creek, Phoenix, Philadelphia, Boston (Hybrid) role.

Rezi rewrites your resume against EP Wealth Advisors's job description. Free.

Resume score gauge reading 58 out of 100

Don't guess if your resume is good enough.

See how it scores against the Compliance Analyst - Torrance, West LA, San Francisco, Walnut Creek, Phoenix, Philadelphia, Boston (Hybrid) posting at EP Wealth Advisors — free, in seconds.

About the Role

EP Wealth Advisors is seeking an experienced Compliance Analyst to support the administration, monitoring, testing, and enhancement of the Firm’s compliance program. This role offers exposure to various compliance functions within a sophisticated Registered Investment Adviser compliance program.

Responsibilities

Support the CCO and Associate Directors of Compliance with the day-to-day administration, monitoring, and oversight of the Firm’s compliance policies and procedures.
Partner with Compliance colleagues, executive management, portfolio management, operations, and other business teams to help identify and address compliance-related matters.
Monitor regulatory developments and assist in evaluating their potential impact on the Firm’s compliance program.
Help maintain and enhance compliance policies and procedures based on regulatory developments, compliance testing, risk assessments, business changes, and industry practices.
Maintain required compliance books and records and support the administration and review of the Firm’s record retention program.
Assist with the review, maintenance, and implementation of privacy policies and related procedures.
Develop and maintain compliance training materials and assist with employee compliance training and education.
Conduct electronic communications surveillance, document review findings, and assist with appropriate follow-up and escalation.
Support administration of the Firm’s Code of Ethics, including monitoring employee personal securities transactions and other Code requirements.
Review marketing materials, advertising, correspondence, and other communications for compliance with applicable regulatory requirements and Firm policies.
Assist with the preparation, maintenance, and timely filing of the Firm’s Form ADV and other required regulatory filings.
Support the Firm’s annual review of its compliance program pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940.
Participate in compliance risk assessments, monitoring, testing, and reviews; document findings and assist with tracking and remediation efforts.
Coordinate with external compliance consultants and legal counsel, as appropriate.
Assist with regulatory examinations, inquiries, and information requests, as needed.
Identify opportunities to improve compliance processes through technology, automation, data analysis, and artificial intelligence tools.
Participate in special projects and other compliance initiatives as assigned by the CCO or Associate Directors of Compliance.

Requirements

Bachelor’s degree or equivalent combination of education and relevant professional experience.
At least four (4) years of professional compliance experience within the financial services, investment management, securities, or wealth management industry.
At least two (2) years of direct compliance experience working for, or providing dedicated compliance support to, a Registered Investment Adviser (RIA).
Working knowledge of the Investment Advisers Act of 1940 and applicable SEC rules, regulations, and guidance governing registered investment advisers.
Hands-on experience with one or more core RIA compliance functions, such as: Form ADV preparation or maintenance; Code of Ethics administration; advertising and marketing review; electronic communications surveillance; compliance testing and monitoring; books and records requirements; regulatory filings; or compliance risk assessments.
Strong attention to detail, accuracy, organization, and follow-through.
Ability to manage multiple priorities, deadlines, and projects in a fast-paced environment.
Strong analytical, research, problem-solving, and written communication skills.
Ability to work independently while collaborating effectively with colleagues across the organization.
Sound judgment and discretion when handling confidential or sensitive information.
Proficiency with Microsoft Office applications, particularly Excel, Word, Outlook, and PowerPoint.
Ability and willingness to learn and use new technology, including artificial intelligence tools such as ChatGPT, to support compliance research, analysis, workflow efficiency, and process improvement.

Skills

Microsoft Office Suite (Excel, Word, Outlook, PowerPoint)
Artificial intelligence tools (e.g., ChatGPT)
Form ADV preparation or maintenance
Code of Ethics administration
Advertising and marketing review
Electronic communications surveillance
Compliance testing and monitoring
Books and records requirements
Regulatory filings
Compliance risk assessments
Investment Advisers Act of 1940
SEC rules and regulations

Location

Remote

Work Type

Full-time

Experience Level

4+ years of professional compliance experience
2+ years of direct compliance experience with an RIA

Education Level

Bachelor's degree or equivalent combination of education and relevant professional experience

Salary/Compensations

$78,000 - $105,000

Benefits

11 Paid Holidays + 2 floating holidays
3 Weeks PTO
Paid Volunteer Time
Paid Parental Leave
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
Health Savings Accounts
Employee Financial Education
Employee Educational Expense Reimbursement
Employee Charitable Donations
Employee Referral Incentives
Employee Team Building Activities
Employee Assistance Program

About the Company

EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $49.1 billion in assets as of June 30, 2026, 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.

Equal Opportunity

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.