Job 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.

Benefits Summary

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

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 Chief Compliance Officer (CCO) with various duties.

PM21

Minimum Qualifications

• High school diploma or equivalent
• Proficient in Microsoft Office: Word, Excel, PowerPoint, 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.

Preferred but not Required Skills

• Knowledge of RIA, B/D and Life Insurance lines of business.
• Salesforce, Practifi, Orion, Docupace experience.
• Bilingual: Spanish, Chinese, is a plus.
• Series 7, 66 (or 63 & 65) and 24.

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.

Company Summary

Established in 1999, Trilogy has grown to be a nationwide firm with clients from coast to coast. We are committed to building strong relationships with our clients and applying sound financial principles to manage over $3 billion in assets they have entrusted to us. Committed to providing opportunities for people to live their best lives, we continue to recruit and mentor new talent to the industry. Consequently, our multi-generational staff of over 130 employees understands the needs and perspectives of a wide variety of client needs. 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.

Work Environment

This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. This position requires prolonged periods of time sitting or standing at a desk and working on a computer. The position and duties must be performed in the branch office. If performing work in a remote location, all compliance and office safety requirements apply.

Note:

This job description in no way states or implies that these are the only duties to be performed by the employee(s) incumbent in this position. Employees will be required to follow any other job-related instructions and to perform any other job-related duties requested by any person authorized to give instructions or assignments. All duties and responsibilities are essential functions and requirements and are subject to possible modification to reasonably accommodate individuals with disabilities. To perform this job successfully, the incumbents will possess the skills, aptitudes, and abilities to perform each duty proficiently. Some requirements may exclude individuals who pose a direct threat or significant risk to the health or safety of themselves or others. The requirements listed in this document are the minimum levels of knowledge, skills, or abilities. This document does not create an employment contract, implied or otherwise, other than an at will relationship.

Compensation details: 25-28 Hourly Wage

PIea7ef8615313-30492-36364517

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