Compliance Associate

Location: Denver, CO

Personal Capital is a leading digital wealth management company, founded in 2009. We’re on a mission to transform financial lives through technology and people, providing both insight-driven advice with free financial tools and personalized wealth management from 200+ registered financial advisors across the county. Personal Capital has raised $315 million in capital from accomplished financial and strategic investors (IVP, Venrock, Crosslink, Corsair, Blackrock, BBVA, USAA, IGM/Power) to disrupt the traditional $30 trillion U.S. wealth management market. Our free personal finance app is utilized by over two million users, helping them track over $650 billion of their personal finances, all in one place. Our award-winning apps paved the way for our advisory firm, which now manages over $9 billion in personalized investment portfolios for American families. Personal Capital is headquartered in Redwood Shores with offices in San Francisco, Denver, Dallas and Atlanta.

For more information on Personal Capital, please visit personalcapital.com.

Position Summary:

The Compliance Associate will assist with the ongoing testing, analyzing and developing of compliance policies and procedures for Personal Capital Advisory Corporation and Personal Capital Corporation. This person will play a key role in helping to shape the company’s evolving compliance program. This is a great opportunity for someone looking to pursue a career in compliance with a rapidly growing company. 

Responsibilities:

• Assist in administering the company’s Compliance Program while working closely with the Legal Team
• Conduct on-going testing in specified areas of Personal Capital Advisors’ Compliance Program
• Monitor advisory communications and review marketing materials
• Review employees’ personal trading and other code of ethics activities
• Maintain the company’s compliance portal (experience in Schwab Compliance Technologies (SCT) is a plus), and assist employees with certifications, attestations and disclosures issues
• Participate in registration advisory support (FINRA/IARD)
• Assist in employee compliance training
• Handle ongoing requests from Advisory and Operations including review of various client letters and documents
• Collaborate on ad-hoc projects with various departments throughout PCC and PCAC

Key Requirements:

• Must be self-motivated, proactive and able to manage multiple tasks and prioritize workflow 
• Ideal candidate will be organized and detail oriented and will work well independently as well as within a team environment
• Prior experience with a Registered Investment Advisor or in a similar Compliance role is highly desirable, but a willingness to learn, work hard and hit the ground running will go far in this role
• Banking and payment compliance experience a plus
• Prior investment advisory experience and basic knowledge of investment related and financial planning topics preferred
• Willingness to take ownership of a project and drive it to completion
• Should be comfortable with Microsoft Word, Excel and PowerPoint

To Apply:

• Submit a resume detailing your experience
• Submit a cover letter explaining why you would be a great fit