Compliance Specialist, Finance & Banking

We look for great people with great ideas.

Our team members are self-starters who actively contribute to the growth of our organization. They embody a dedication to transparency and honesty, along with a genuine desire to help others.

Because our employees are the driving force behind our ability to serve our clients, we are committed to their success — fostering a supportive environment to help them thrive both professionally and personally.

Ranked Top 15 Barron’s Top 100 RIA Firms 1

Best in Class Ethics NBRI 9

Top leadership has created an environment where work-life balance is valued. They invest in relationships of their employees.

My time at Allworth Financial has been the most rewarding I’ve had in my professional career. This organization truly cares about its employees and the clients they serve. I look forward to going to work everyday because I know I will be challenged and have fun at the same time. I plan to stay with Allworth Financial for my entire career and can not speak more highly of this organization.

As an employee, I’ve witnessed tremendous growth and change, and I’ve always felt that my voice matters. My manager is one of the best I’ve ever worked with in my entire life. He stays incredibly busy, but makes times for me when I need his support.

I honestly can not imagine a better company to work for, and that has attracted top notch people who tend to stay a long time.

Allworth Employee, Bay Area, CA

I actually admire everyone I know at the firm. From the CEOs, to management, to entry level personnel, everyone truly loves the company and is happy to be here.

People grow with this firm. The firm is doing exciting, innovative things and is growing both incredibly fast, and honorably.

Pleasant Hill, California, United States

Allworth Financial ( ) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America.

Allworth Financial was also recognized as a Barron's Top 40 RIA in 2024.

SUMMARY

The Compliance Specialist position is responsible for assisting with the administration of the compliance program for Allworth Financial, an SEC Registered Investment Adviser, and AW Securities, a FINRA registered broker/dealer.

DUTIES AND RESPONSIBILITIES

• Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
• Engages in proactive surveillance activities to detect and resolve potential compliance issues.
• Assist with the implementation and maintenance of the firm’s anti-money laundering program.
• Receives and reviews requests for marketing and advertising review and approval
• Assists with inquiries from internal business partners regarding Compliance related issues.
• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of issues.
• Assists in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issues.
• Assists in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all…