Compliance Associate

EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $36.4 billion in AUM as of June 30, 2025, 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 office located in Atlanta, GA is hiring for a Compliance Associate. The Compliance Associate will be introduced to all aspects of the firm’s Compliance and Regulatory program including rules, policies, procedures and best practices by working alongside and supporting the firm’s Compliance Analysts in their areas of concentration.  The Compliance Associate will assist in implementing, managing the regulatory compliance programs for the firm and will assist in managing and maintaining the firm's overall culture of compliance. 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: $65,000 - $75,000 plus annual bonus

Duties and Responsibilities

• Heavy data entry, filing and maintenance duties involving the firm's Compliance Management Software systems;
• Running reports and retrieving documents and files when requested;
• Implement and monitor projects and tasks as directed by the Associate Director
• Familiarity with firm related compliance policies and procedures, and a willingness to learn governing regulations and best practices, which include, amongst others, The Investment Advisers Act of 1940, Securities and Exchange Act of 1934;
• Assist the Associate Director and Compliance Analyst in implementing and enforcing compliance policies and procedures;
• Effectively communicate regulatory and procedural changes and/or important issues to firm employees and/or management and any affected business units;
• Assist the Associate Director in day-to-day monitoring of all compliance related policies and procedures;
• Assist Associate Director and Compliance Analyst with compliance program reviews and audits, including, annual review of firm pursuant to Rule 206(4)-7 under the Advisers Act;
• Effectively communicate with compliance consultant
• Assist the Associate Director and Compliance Analyst with new compliance initiatives
• Other special projects and ad hoc duties as assigned by the Associate Director 

• 2+ years' experience in an administrative capacity, in the Registered Investment Advisor space preferred.
• 1-3 years of experience in financial services regulated environment preferred.
• Ability to work in a team-oriented environment.
• Proficiency in Microsoft Office suite with expertise in Microsoft Word and Excel.
• Strong attention to detail and accuracy.
• Ability to multi-task and work well under pressure.
• Comfortable working in a fast-paced office environment with varying deadlines.
• Exceptional written and verbal communication skills
• Superior organization skills and dedication to completing projects in a timely manner.
• Strong interest in compliance and risk management functions

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 + 2 floating Holidays
• 3 Weeks (PTO)
• Pai