Brighton Jones is a team that helps our clients, colleagues, and the global community live richer lives. That’s our mission, and why we do everything we do. We are a team that collaborates together to achieve our goals, as we support our clients in reaching theirs. Successful candidates for this role and all roles at Brighton Jones will bring a “how can I help?” attitude and a willingness to do whatever it takes to help our clients and colleagues succeed. We are looking for someone who wants to contribute to and celebrate the success of others and be part of an organization that is a leader in the industry.
Brighton Jones is one of the nation’s fastest-growing RIAs headquartered in Seattle, Washington. Over the past 20 years our team-based approach, relentless focus in evolving our service model, and operational foundation has enabled us to grow 100% organically from a 2-person start-up to a 250-person enterprise, helping over 3,000 families and advising on over $10B in assets. We continue our growth as we plan to expand into 30 new markets, grow to 2,000 team members strong, and serve 30,000 clients. Creating and maintaining an incredible culture is our secret sauce and our goal is to make sure each of our teammates loves working here, what they do, who they do it with, and who they do it for.
We are looking for a Head of Compliance who will be responsible for RIA compliance, compliance analysis and programs, and all requirements of applicable regulatory agencies such as the SEC, DOL, and state securities divisions. This is an exciting career opportunity for an individual who aspires to grow quickly into a Chief Compliance Officer role.
Your Role:
- Oversee compliance programs for Brighton Jones’s business lines, including Wealth Management, Private Investments, and Retirement Planning Services.
- Stay up-to-date on new and proposed regulations and evaluate potential impacts on business.
- Manage compliance audits and all regulatory filings with the SEC and each state in which the firm operates.
- Coordinate with other internal teams to determine impacts of regulation on current processes; and co-lead implementation of new/modified processes alongside Client Service Operations.
- Lead and support the development of policies, guidelines, standards, and procedures.
- Manage corporate insurance, including annual evaluation and renewal process, claims, certificates of insurance, and any other firm insurance needs.
- Participate in operational due diligence activities.
- Advise teams of advisors on client situations, client questions, rules, regulations, and personal compliance matters.
- Participate as a member of the firm’s Information Security team.
- This role is an in-office, full-time, and exempt position. We are a work from office culture with flexibility.
Your Experience:
- Four-year college degree required
- Minimum 5 years of relevant regulatory experience
- Strong knowledge of RIA compliance, including the Investment Advisers Act of 1940
Skills & Attributes:
- You have sound professional judgment and are comfortable serving in an advisor capacity to leadership/executive team members.
- You are capable of being exceptionally discreet and are committed to confidentiality.
- You are comfortable navigating gray area.
- You are confident in presenting and advocating your point of view but ultimately embrace an “as the team goes, so do I” mentality.
- You have a mature perspective when it comes to evaluating the relative importance of and escalation of issues.
- You’re comfortable collaborating across teams to solve complex problems and implement solutions.
- You consider yourself proficient—if not advanced—in Microsoft Office products (Outlook, Word, Excel, Windows).
- You have excellent oral and written communications skills.
- You have an outstanding eye for detail.
- You are able to take on multiple projects with conflicting priorities, because you’re highly organized and calm under pressure.
- You balance confidence and humility and have a sense of humor!
Compensation:
- Annual compensation: $140,000 - $180,000
- Benefits: Our benefits package includes, but is not limited to, health care benefits (medical/dental/vision), retirement benefits, paid time off (PTO), holiday flex-days, summer flex-days, company-paid holidays, parental leave, transportation benefits, unlimited volunteer time off, professional, and personal wellbeing stipend, and other fringe benefits.
Our Company
We are a company that uses creativity and passion to help our clients, colleagues, and the global community live richer lives. We are a nationally recognized wealth management firm with a strong talent focus.
At Brighton Jones, we are passionate about building a team of people with diverse backgrounds, ideas, and experiences. Varied voices and perspectives make us stronger, and we believe that individuality—your secret sauce! —allows us to be more successful as a group, raise the bar in all that we do, and enables us to better serve our clients and the global community.
Our strong cultural DNA is vital to who we are and the services we provide as a firm. Our MESI program (Mindfulness, Emotional, and Social Intelligence) empowers our employees, clients, and community to be present and act with intention and compassion. Through a growth mindset, we work to inspire, support, challenge, and motivate each other to be the best version of ourselves every day.
To the right individual, we offer a very competitive compensation and benefits package for our industry. If you meet the above requirements, please apply online. In your cover letter, please describe your professional passions and ultimate career objectives.
Brighton Jones provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, Brighton Jones complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has offices. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.
Brighton Jones expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of Brighton Jones’s employees to perform their job duties may result in discipline up to and including discharge.
