Compliance Associate

At Coldstream Wealth Management, we’re adding a Compliance Associate to support our continued growth. This position reports to the Chief Compliance officer and will be based in our Bellevue office (1-2 days per week in office, the others can be remote).

If you are interested in researching, analyzing, and compiling data, reviewing materials for accuracy, and training team members to foster a culture of compliance, this could be the perfect next step for your career!

Specific responsibilities include:

• Facilitate team member compliance training
• Review and approve marketing materials
• Facilitate new team member onboarding
  • Maintain the company’s FINRA filing systems for U4 and U5 registrations and licensing
  • Connect new team members to compliance reporting applications
  • Process and approve new client onboarding tasks
  • Collect and organize data for audits
• Distribute, collect and review team member compliance attestations, including personal trading, gift reporting, political contributions, outside business activities, compliance certifications
• Coordinate and review advisor compliance procedures, disclosures and certifications
• Collaborate with other compliance team members on a variety of projects, including forensic testing of the firm’s compliance policies and procedures

Experience and Skills:

• A Bachelor’s degree
• 1-3 years of compliance experience at a Registered Investment Adviser or compliance consultancy firm
• Strong Microsoft Word, Excel, and PowerPoint skills; Adobe is a plus
  • Bonus if familiar with ComplySci, Salesforce, or other CRM systems
  • Excellent attention to detail and organizational and prioritization skills
  • Ability to maintain high level of discretion and confidentiality
  • The ability to manage multiple projects independently within deadlines
  • Strong written and verbal communication and presentation skills

Coldstream is an employee-owned, independently-operated wealth management firm that’s been earning the trust of affluent families and businesses for 26 years. We offer a comprehensive, holistic approach to planning and focus on providing unparalleled advice and exceptional service. We welcome new colleagues who believe in our same approach, value open communication, and believe in trusting, life-long relationships. Founded in 1996, the firm has offices in Bellevue, Seattle, Mercer Island, Kirkland, Portland, Boise, and Kenai, Alaska. For more on Coldstream, please visit www.coldstream.com.

In terms of pay expectations, we assess each candidate individually based on their experience and qualifications and offer competitive compensation that reflects the value they bring to the team. Base pay for this position typically starts between $75k and $100k plus an annual bonus and a generous benefits package.

As a Washington’s Best Workplaces awardee, we pride ourselves on our collaborative and supportive culture. We’ve created a full benefits package that focuses on the growth, health, and wellness of our team members:

• Pay: Competitive base salary plus annual bonus based on achieving personal performance goals that you help set
• Benefits: Fully paid premiums for medical/dental/vision, short-term and long-term disability, and life insurance
• 401(k): 100% company match up to 4% of your annual pay
• Stock: Opportunity to purchase equity and become an owner of the firm
• Paid Time Off: Starting at 16 days per year, then increasing with tenure - plus 10 holidays and an extra paid day off each year to do volunteer work
• Career development: 100% training/certification/licensing/dues reimbursement plus access to Coldstream’s mentoring program
• Parking: heavily subsidized parking or free transit pass
• Wellness reimbursement