Sr. Compliance Associate- Wealth Management
Location: Appleton, Wisconsin
Job Type: Full time
Who We Are
Wealthspire Advisors is a New York City-based, independent registered investment Advisory firm with $20B in AUM. We have more than 300 employees serving clients from 22 offices in 12 states. With a strong commitment to a fiduciary business model, the firm believes in connecting all aspects of a client's financial life to deliver thoughtful, collaborative strategies that focus on what is most important to each client. Wealthspire Advisors acts as a wealth manager, investment Advisor, consultant, and constant partner in helping clients achieve their aspirations. For more information on Wealthspire Advisors, please visit www.wealthspire.com.
Wealthspire Advisors seeks an experienced compliance professional to join our critical Legal & Compliance Team as a Sr. Compliance Associate. The Legal & Compliance Team provides centralized support for the Firm and its individual financial advisors on all aspects of compliance, including Code of Ethics, Privacy, and regulatory filings and registration, to name a few. The role of Compliance Associate assists and enhances all aspects of the Firm’s compliance program. Attention to detail, strong analytical skills, and the ability to handle confidential information are “must haves” for this role.
Essential Duties and Responsibilities:
- Assist the Chief Compliance Officer with the development, maintenance, and administration of the Firm’s compliance program, including annual and ongoing compliance testing, surveillance, and records retention.
- Support the creation and implementation of new policies and procedures in response to newly issued regulatory guidance.
- Assist with responding to regulatory inquiries, examinations, internal audits, and other reviews.
- Create and conduct compliance training as assigned.
- Provide guidance and support to our financial advisors and business partners on compliance-related matters.
- Assist with investigative process for escalated customer and representative compliance issues as necessary.
- Identify potential representative disciplinary issues and assists in response as needed.
- Support Firm initiatives by representing the Legal & Compliance Team in a collaborative environment with cross-functional teams.
- Conduct initial and ongoing evaluations of third-party vendors and solicitors.
- Actively participate in various other compliance or legal projects and initiatives, as needed.
- Travel up to 5% of the time visiting Wealthspire’s offices may be required for this role.
Knowledge, Skills and/or Abilities:
- Proficiency with Microsoft Office (e.g., Word, Excel, PowerPoint, etc.).
- General technical ability and comfort with navigating various software applications and systems.
- Working knowledge of the Investment Adviser’s Act of 1940 and general knowledge of other investment-related regulations.
- Strong personal integrity, professional initiative, and a personable attitude.
- Excellent oral and written communication skills.
- Ability to read, analyze, and interpret regulatory disclosures and disclosures, as well as general business periodicals, professional journals, technical procedures, or governmental regulations.
- Ability to build consensus among managers and employees across departments.
- Ability to work independently on strategic projects with minimal oversight and effectively manage priorities.
- Compliance or financial services related professional designations (e.g., IACCP, CFP) or FINRA Series Exams preferred but not required.
Education and/or Experience:
- Bachelor’s degree required
- 3-5 years of overall experience in advisory compliance or legal services, or a related field
Diversity, Equity, Inclusion, and Belonging at Wealthspire
Wealthspire is committed to fostering an inclusive work environment that values diversity as a fundamental asset. Research substantiates that diverse teams are not only more innovative but also make more informed decisions, leading to increased employee engagement and client satisfaction.
- Equal Opportunity:We are an equal opportunity employer. All employment decisions are based on qualifications, merit, and business needs. We do not discriminate on the basis of race, religion, color, gender, age, national origin, sexual orientation, marital status, veteran status, or disability status.
- Culture Add Over Culture Fit:Rather than seeking candidates who merely fit into our existing culture, we prioritize those who will add new dimensions to it. We welcome individuals who bring unique perspectives, experiences, and skills that enrich our team and client interactions.
- Inclusive Excellence:We believe that true excellence can only be achieved in an environment where every employee feels empowered and included. Our commitment to diversity extends beyond hiring practices to every facet of our business.
Do you see yourself excelling in this position?
Don't hesitate to apply, even if you don't meet every qualification on the list. We recognize that career journeys are as unique as individuals themselves, and valuable skills can come in various forms. We're eager to learn about your unique talents and experiences.
What We Offer
NFP and Wealthspire Advisors is proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others.
NFP and You... Better together!
NFP and Wealthspire Advisors is an inclusive Equal Employment Opportunity employer.