Compliance Associate
Description

Job Summary

The Compliance Associate is an entry level position that will be responsible for administrative support related to policies and procedures to the Compliance Department. As part of the Compliance Team, the person will ensure that the firm is operating in a compliant manner by performing variety of clerical functions, such as, organizing and maintaining files, utilizing Compliance software, and communication within internal departments. 


Essential Duties/Responsibilities

  • Maintain compliance-related programs, including: Attestation Program and Advisor Disclosures for Investment Advisors Representatives.
  • Billing calculations and reviewing fee files for all our Custodians and Consulting Agreements.
  • Coordinate employee background checks and terminations from registered entities.
  • Assist with the creation and implementation of workflows and procedures.
  • Assist CCO with various duties.

Benefits Summary

Trilogy Financial values their employees like families. The following are some of the benefits of a career with Trilogy Financial: 

  • Competitive Compensation
  • Comprehensive Health, Dental and Vision Insurance
  • Life and Disability Coverage
  • Paid Time Off and Holidays 
  • 401(k) matching 
  • Eligible Profit Sharing 
  • Career Development, Mentorship and Education
  • Team Events and Parties
  • Achievement Awards and Trips.

Company Summary

Today, one client at a time, Trilogy has become a nationwide firm with clients from coast to coast. Our clients have over $2 billion dollars in brokerage and advisory assets served through Trilogy and our staff has grown to over 150 comprehensive Advisors. Trilogy continues to recruit and mentor new talent to the industry, a commitment abandoned by many of its competitors. Because of this, our multi-generational staff understands the needs and perspectives of a wide variety of client needs. We utilize progressive ideas and opportunities to help our clients now and into the future. Today, as always, Trilogy lives by its development motto: never stop growing. Where will Trilogy’s story lead? We believe the sky’s the limit.


PM21

Requirements

Minimum Qualifications

  • High school diploma or equivalent 
  • Basic knowledge of Microsoft Office: Word, Excel, Outlook 

Skills Requirements

  • High-level attention to detail. Able to organize a steady stream of information, projects, files, emails and calls.
  • Ability to take initiative, problem-solving, and adaptability. 
  • Ability to learn new product-specific software and utilizing resources.
  • Ability to communicate information and ideas, verbally and in writing.
  • Ability to work closely and collaborate with the Compliance team, producing accurate work in a timely manner.
  • Demonstrates professionalism and understanding of confidentiality. 

Physical Requirements

  

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the functions. While performing the duties of this position, the employee is regularly required to talk or hear. The employee frequently is required to use hands or fingers, handle or feel objects, tools, or controls. The employee is occasionally required to stand; walk; sit; and reach with hands and arms. The employee must occasionally lift and/or move up to 10 pounds. Specific vision abilities required by this position include close vision, distance vision, and the ability to adjust focus. The noise level in the work environment is usually low to moderate.


This job description does not constitute a contract of employment; the company may exercise its employment-at-will rights at any time.