Department: Compliance
Position Reports to: Chief Compliance Officer
ABOUT ONEASCENT
OneAscent is a family of companies committed to delivering Values Aligned financial solutions. Headquartered in Birmingham, AL with office locations across the United States, our mission is to empower advisors and investors to fully live out their values and convictions. At OneAscent, our faith is core to who we are – it influences the way we live personally, professionally, and how we manage the business. In order to effectively serve our clients and our employees, OneAscent is committed to honoring the Lord in all we do by operating the company in a manner consistent with Biblical principles. Our desire is to help each employee flourish in their natural gifting while also working to accomplish OneAscent’s mission.
At OneAscent, we value all employees and job candidates as unique individuals, and we welcome the variety of experiences they bring to our company. As such, we have a strict non-discrimination policy. We believe everyone should be treated equally regardless of race, sex, gender, sexual orientation, national origin, religion, age, disability, marital status, pregnancy, or any other characteristic protected by law.
COMPLIANCE ASSOCIATE ROLE
OneAscent is looking for an experienced, self-starter, and solutions-driven professional to join our compliance team to help oversee our growing and dynamic advisory business. Reporting to the Chief Compliance Officer, the Compliance Associate will assist in identifying, investigating, and resolving potential compliance related issues. The position requires extensive interaction with advisors throughout the firm’s platform, and the firm’s corporate resource groups. Knowledge of investment products, and practices, and comprehensive knowledge of Investment Advisory rules is desired. This role will require both individual and collaborative work. The ideal candidate will have high integrity, be a self-starter, be diligent with details, and is eager to learn the details of compliance for a values-aligned financial firm.
DUTIES AND RESPONSIBILITIES
• Utilize online registration depositories to process registrations of advisors with the appropriate regulatory bodies
• Provide day-to-day support for internal and external financial advisors, which includes, without limitation:
- Monitor continuing education requirements and ensure advisors meet these requirements
- Utilizing specialized software, monitor employee personal trading and electronic communications
- Review and approve advertising materials
• Research and answer questions from advisors and staff
• Coordinate responsive solutions to advisor compliance matters
• Possible travel to advisors for on-site reviews of processes and procedures
• Other projects or tasks as needed
QUALIFICATIONS
• Bachelor’s Degree, preferably in a related field
• Microsoft Office Proficient
• Ability to learn and then utilize various trading and compliance applications
• Ability to manage and prioritize multiple projects
• Extremely analytically and detail oriented
• Able to work independently with little day-to-day supervision, yet still follows organizations guidelines
• Highly service oriented
• Communicates in a direct and proactive manner
• Strong team player, willing to share ideas
COMPENSATION AND BENEFITS
• Compensation will vary on level of experience
• Discretionary bonus which depends on the success of the firm
• Medical, Dental, and Vision, Life, Flex Accounts, 401(k), and paid vacation time available
