Compliance Analyst - Torrance, West LA, San Francisco, Walnut Creek, Phoenix, Philadelphia, Boston (Hybrid) (copy)

EP Wealth Advisors (EPWA) is a wealth management advisory firm with over $49.1 billion 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.
 
We are seeking an experienced, detail-oriented, and collaborative Compliance Analyst to join our Compliance team. This role is designed for a compliance professional with meaningful experience in the investment advisory industry who is ready to take on broad responsibilities within a sophisticated Registered Investment Adviser compliance program.
 
The Compliance Analyst will work closely with the Chief Compliance Officer (CCO), Associate Directors of Compliance, other members of the Compliance team, and business partners throughout the Firm. The position will support the administration, monitoring, testing, and ongoing enhancement of the Firm’s compliance program.
 
The role provides exposure to a broad range of compliance functions, including regulatory filings, advertising and marketing review, electronic communications surveillance, Code of Ethics administration, compliance testing, employee training, privacy, books and records, risk assessments, and regulatory developments.
 
What You'll Do As a Compliance Analyst, you will:
• 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.

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
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 and Health Savings Accounts
Employee Financial Education
Employee Educational Expense Reimbursement
Employee Charitable Donations
Employee Referral Incentives
Employee Team Building Activities
Employee Assistance Program
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.