Company: Trilogy Financial
Posted on: August 5, 2022
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.
Maintain compliance-related programs, including: Attestation
Program and Advisor Disclosures for Investment Advisors
Billing calculations and reviewing fee files for all our Custodians
and Consulting Agreements.
Coordinate employee background checks and terminations from
Assist with the creation and implementation of workflows and
Assist CCO with various duties.
Trilogy Financial values their employees like families. The
following are some of the benefits of a career with Trilogy
Comprehensive Health, Dental and Vision Insurance
Life and Disability Coverage
Paid Time Off and Holidays
Eligible Profit Sharing
Career Development, Mentorship and Education
Team Events and Parties
Achievement Awards and Trips.
Today, one client at a time, Trilogy has become a nationwide firm
with clients from coast to coast. Our clients have over $2 billion
dollars in brokerage and advisory assets served through Trilogy and
our staff has grown to over 150 comprehensive Advisors. Trilogy
continues to recruit and mentor new talent to the industry, a
commitment abandoned by many of its competitors. Because of this,
our multi-generational staff understands the needs and perspectives
of a wide variety of client needs. We utilize progressive ideas and
opportunities to help our clients now and into the future. Today,
as always, Trilogy lives by its development motto: never stop
growing. Where will Trilogy's story lead? We believe the sky's the
High school diploma or equivalent
Basic knowledge of Microsoft Office: Word, Excel, Outlook
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
Ability to communicate information and ideas, verbally and in
Ability to work closely and collaborate with the Compliance team,
producing accurate work in a timely manner.
Demonstrates professionalism and understanding of
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
Keywords: Trilogy Financial, Irvine , Compliance Associate, Other , Irvine, California
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