About the job
At Allworth Financial (www.allworthfinancial.com), we are a premier independent investment advisory firm dedicated to enhancing our clients' financial future through strategic retirement planning, investment advisory, and 401(k) management. Our direct and client-centric approach ensures that we provide tailored solutions for long-term and short-term investment planning, empowering our clients to meet their financial goals.
Founded in 1993 in Sacramento, California, Allworth Financial has grown into a thriving, private equity-backed, multi-branch Registered Investment Advisor. With a strong emphasis on employee well-being and client education, we pride ourselves on being a fee-based fiduciary advisory firm with a multi-billion dollar portfolio. Recognized for our commitment to excellence, we were honored with the “Circle of Excellence” award by the National Business Research Institute in 2021 for exceptional employee and client satisfaction, and we were named one of Barron’s Top 40 RIAs in 2024.
SUMMARY
The Compliance Specialist is integral to the administration of our compliance program at Allworth Financial, an SEC Registered Investment Adviser, and AW Securities, a FINRA registered broker/dealer.
DUTIES AND RESPONSIBILITIES
- Support the ongoing execution of the Compliance Program, ensuring adherence to ethical standards and legal regulations.
- Conduct proactive surveillance to identify and address potential compliance issues.
- Assist in the implementation and upkeep of the firm's anti-money laundering program.
- Review and approve marketing and advertising initiatives.
- Provide guidance to internal teams regarding compliance-related inquiries.
- Identify compliance vulnerabilities and risks, developing corrective action plans as necessary.
- Promote awareness of compliance policies and procedures throughout the organization.
- Assist in maintaining current registrations and memberships for the firm and its associates.
- Prepare and submit regulatory filings, including SEC Forms 13F, and monitor compliance with reporting requirements.

