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Compliance Officer– Senior Associate

Freestone is building the digitally integrated wealth services firm of the future. We believe making a difference happens by focusing on what truly matters to our clients. If you are passionate about helping people and serving a greater purpose in life and work, Freestone is the home for you.

We are an independent wealth and asset management firm with offices in Seattle, San Francisco, and Santa Barbara. We provide a personalized experience combining rational, intelligent advice and sophisticated investment strategies, delivered via technology, where possible.  Currently, we have over $8 billion of assets under advisement.

We live our values of collaboration, commitment and continuous improvement every day and welcome new Freestoners to join us.

The Opportunity:

We are searching for a qualified candidate to join our compliance team in a senior associate role.  The position is located in either our Seattle office or San Francisco office and reports directly to Freestone’s Chief Compliance Officer.  The successful candidate for this position will have strong regulatory compliance experience within the financial services industry (SEC registered investment adviser preferred) and a can-do attitude with a willingness to roll up their sleeves and excel in a collegial, fast-paced environment. 

Key Responsibilities:

  • Promote and maintain a culture of compliance centered around the firm’s three key principals: (1) Clients Come First; (2) Do the Right Thing; (3) Comply with Laws

  • Manage all employee personal trading, outside business and gift and entertainment activities, including periodic attestations, researching and approving/denying such items and related interactions with employees

  • Maintain the firm’s restricted and watch lists

  • Coordinate necessary data compilation and manipulation for IA regulatory filings, including Form ADV, Form PF, Forms 13F and 13H, and Schedule 13 filings. This also includes CFTC/CPO filings such as quarterly PQRs

  • Communicate regularly with the firm’s custodians, referral partners and vendors to ensure the firm’s compliance and business obligations are satisfied

  • Collaborate directly with the firm’s CCO to review and analyze regulatory developments relevant to the firm’s business activities

  • Propose potential changes to compliance policies and procedures; assist with drafting of the firm’s compliance manual

  • Assist the CCO with drafting content for firm-wide compliance meetings and other small group compliance training sessions, including new employee compliance training, and participate in the presentation of such content

  • Work with the CCO to conduct the firm’s required annual compliance review

  • Serve as a go-to resource for all employees regarding the firm’s compliance program

Your Experience:

  • Bachelor’s Degree or higher; compliance certification such as CRCP or IACCP is a plus

  • 5--7 years of compliance, legal or related experience in the financial services industry

  • Strong understanding of the Investment Advisers Act of 1940 and the asset management industry, including retail wealth management and private investment vehicles.  Experience with ERISA and the prohibited transactions rules of the Internal Revenue Code is a plus.

Your Competencies:

  • Exceptional written and verbal communication skills

  • Strong business acumen and courage of conviction, together with the interpersonal skills and requisite knowledge to be a trusted resource for staff throughout the firm

  • Solid planning, organizational, project management and communication skills

  • Ability to handle highly sensitive matters at all levels of the firm with discretion and confidentiality

  • Capacity to learn and excel at day-to-day responsibilities and contribute to driving process improvement, standardization and automation

  • Capable of anticipating and reacting quickly to the evolving financial services regulatory environment, including a strong understanding and familiarity with all necessary fillings and documentation required by the firm’s regulators

  • Proficiency in Microsoft Word, Excel, PowerPoint and Outlook

Your Characteristics:

  • Strong sense of integrity, loyalty and discretion

  • Committed to producing high quality work product

  • Capacity and passion for being part of a fast-growing, dynamic office environment

  • Pro-activity and creativity in identifying issues, solutions, opportunities for efficiency

  • Team oriented with the ability to build relationships and earn the respect of others

  • Heightened attention to detail – must be meticulous and consistently accurate

  • High level of motivation; strong work ethic; proactive and results oriented

  • Strong intellect and appropriate self-confidence; comfortable and poised working with colleagues at varying levels and with different work styles

Applications should be submitted via LinkedIn directly or by using this link:

https://freestone.applytojob.com/apply/EbUIYJVUN1/Compliance-Officer

Freestone is an equal opportunity employer.  All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.

In order to ensure a healthy and safe work environment, Freestone is requiring all new employees to be fully vaccinated and provide proof of their COVID-19 vaccination on or before their start date. Candidates who cannot receive the vaccine because of a disability-related reason or sincerely held religious belief may request an accommodation related to this requirement.

Ready to get started? Contact a Client Advisor