Assistant Compliance Associate

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About Wacker Wealth Partners:

We are a fee-only, independent wealth management firm overseeing $900 million in investments and providing comprehensive financial planning for our clients.  Our firm’s founder, Bob Wacker, helped shape the financial planning profession, having served as the national President and Chair of NAPFA and on the Board of Governors of the CERTIFIED FINANCIAL PLANNER™ Board of Standards.  With a team of sixteen people, eight of which are CFP® practitioners, Wacker Wealth Partners continues its tradition of leadership and innovation in relentless pursuit of providing clients with the best financial guidance available. 

Our firm is located on the beautiful and coveted central coast of California in San Luis Obispo.  Whether it is hiking, surfing, wine tasting, mountain biking, or just general well-being you are after, SLO offers world class opportunities with small town charm and community.  With only a three-hour drive to Los Angeles, the San Francisco Bay area, or the mountains, SLO is also a great home base for weekend excursions. 

The Assistant Compliance Associate Position:

The Assistant Compliance Associate serves as the assistant to the Chief Compliance Officer for Wacker Wealth Partners with the opportunity to permanently transition into the CCO role.  Aided by the Wacker Wealth Partners Oversight Committee, the Assistant Compliance Associate is a key component of the firm's Executive Committee and responsible for establishing, tracking and testing policies and procedures consistent with SEC Registered Investment Advisory firms.   

Responsibilities include:

  • Assisting the Chief Compliance Officer with all compliance related tasks;
  • Sitting on the firm's Oversight & Executive Committees;
  • Reviewing the firm's Policies & Procedures;
  • Testing the firm's compliance programs and activities;
  • Participating in continuing education calls, webinars and conferences;
  • Coordinating the firm,s compliance activities with their outside consultants.

An ideal candidate will possess:

  • A Bachelor’s degree;
  • A minimum of two years of experience in the personal finance industry, preferably in compliance;
  • A commitment to the profession of fee-only, personal financial planning;
  • Exceptional interpersonal skills, possessing both confidence and emotional intelligence;
  • Robust analytical skills, both in identifying problem issues and in evaluating solutions;
  • Excellent communication skills, both verbal and written;
  • Advanced knowledge of the Investment Advisers Act of 1940 ("Advisers Act");
  • A confident, can-do, roll-up-your-sleeves attitude.

Salary and Benefits are competitive based on industry standards and qualifications

Location: San Luis Obispo, CA
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