Compliance Operations Associate

At Brighton Jones, we're not just looking for high performers—we're seeking outstanding collaborators who overachieve on curiosity and compassion. We offer the energy and opportunity of a high-growth organization, combined with the performance and vision of an industry leader. If you want to have an impact, we want to amplify it. 

Our mission goes beyond managing investments. We're changing the world through Wealth Alignment: helping our clients, teammates, and members of our global community align their time and money with their values and passions, empowering them to live more purposeful lives.  

This approach has fueled our growth, making us the largest RIA in the Pacific Northwest, with 18 national offices serving over 4,000 clients and managing over $26 billion in assets. Our 98% client retention rate reflects the fact that our growth has been intentional, sustainable, and 100% organic. 

At Brighton Jones, you'll be part of a culture that thinks big, cares deeply, and celebrates each other proudly. Our values—Commitment, Curiosity, Continuous Growth, Compassion, Collaboration, and Community—drive every decision we make. We foster this by building meaningful relationships, working hard while having fun, and giving back to our community through our Compassion in Action initiatives. 

We've won numerous Best Places to Work awards, but what truly sets us apart is our investment in your growth. Through programs like MESI Training, teammate-led Giving, Richer Life Partners, and a path to ownership for EVERY team member, we empower you to develop both personally and professionally.  

Join our #OneTeam of 300+ passionate individuals who bring a "How can I help?" attitude to their work every day. Together, we'll amplify our impact and help more people live richer lives. 

We are seeking a Compliance Operations Associate with 1-3 years of compliance or accounting experience and a bachelor's degree. This highly collaborative role will be responsible for carrying out critical compliance functions in partnership with our Finance and Operations teams. This role requires an exceptional commitment to confidentiality and discretion as you will be exposed to sensitive projects and legal matters. This is an excellent opportunity for a highly personable and motivated individual, passionate about learning and growth, to add tremendous value for our team members and clients!

Take our Values in Action Self-Assessment to see how our values align! 

• Manage the processes to register, remove, transfer, and report on client service team members in FINRA. 
• Evaluate employee trade activities, certifications, outside business activities, and donations for adherence with our policies and procedures.
• Partner closely with our Marketing team to conduct ongoing reviews of webinars, website content, blog posts, or other advertisements to ensure compliance the Marketing Rule.
• Conduct monthly reviews of approved communication channels.
• Review our billing, conflicts of interest, best execution, and client suitability procedures in partnership with our Operations, Finance, and Investment teams on a quarterly basis.
• Assist with scheduled or ad-hoc audits and investigations, or other projects as directed by the Head of Compliance. 
• This role is an in-office, full-time, and exempt position. We are a work from office culture with a lot of flexibility.

• Undergraduate degree required; degree in finance or accounting preferred.
• 1-3 years regulatory compliance, accounting, or related experience in financial services.
• Strong understanding of the Investment Advisor Act of 1940 and familiarity with the anti-money laundering (AML) requirements of the Bank Secrecy Act (BSA) is highly preferred.
• Service-oriented mindset with mindful communication and interpersonal skills.
• Excellent attention to detail with the ability to manage multiple tasks and deadlines in a fast-paced environment.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint); familiarity with Salesforce, ACA,  and CPQ systems is a plus.

• Pay: $70,000 - $80,000 per year

• 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

At Brighton Jones, we're building a future for wealth management that's about more than managing wealth. Our #OneTeam is united by a shared commitment to our mission, vision, and values. We believe that when you thrive, we thrive, which is why we've created an environment where every team member can genuinely love their work and feel supported by colleagues.

Diversity enriches our lives and our work. We're committed to fostering an inclusive culture where all members of the Brighton Jones family feel safe to express their unique identities and empowered to reach their full potential. This commitment is woven throughout our business and shapes how we hire, empower our teammates, create learning opportunities, and support our communities. 

At Brighton Jones, you'll have the freedom to be yourself and the support to be your best. If you're excited about redefining wealth management and making a positive impact, we want to meet you. We offer you competitive compensation, excellent (and unique!) benefits, and rewarding career opportunities—including a path to ownership for every teammate. 

In your application, tell us why you're eager to join our growing #OneTeam and how this opportunity aligns with your career objectives and personal values. 

What to Expect in the Hiring Process

1. Values in Action Self-Assessment - At Brighton Jones we don’t just talk about our values, we live by them! We’ve operationalized our values into observable behaviors and part of the application process includes completing a brief self-assessment on our Values in Action. 

2. Initial Interview - This 30-min chat with a recruiter or hiring manager gives us a chance to learn about your background and goals and share more about the role and company. 

3. Role Alignment - Next you’ll meet with the hiring manager and a peer (virtual or in-person) to dive deeper into the role, responsibilities, and your transferrable experiences. 

4. Full Loop - You’ll meet the team in two, back-to-back interviews with team members you’re likely to work with. During these conversations, we’ll be listening to examples of your technical skills as well as how core values show up in your experience. There may also be a writing sample, role play, hiring, or technical assessment depending on the position. 

5. Personal Reference Calls - In this final step in the hiring process, you will be asked to arrange 1-2 personal reference calls with past managers of our choosing. 

6. What’s Next - Interviewing is time-consuming and stressful, and we appreciate you taking the time to get to know us. Whatever the final decision, we’ll let you know our decision as quickly as we can. If this role isn’t a good fit, we invite you to stay connected and apply again. 

Brighton Jones provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, veteran status, or caste. 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.