Legal And Compliance Analyst

Freestone is building the digitally integrated wealth services firm of the future. We believe making a difference happens by focusing on what truly matters to our clients. If you are passionate about helping people and serving a greater purpose in life and work, Freestone is the home for you.

We are an independent wealth and asset management firm with offices in Seattle, San Francisco, and Santa Barbara. We provide a personalized experience combining rational, intelligent advice and sophisticated investment strategies, delivered via technology, where possible. Currently, we have over $8 billion of assets under advisement.

We live our values of collaboration, commitment and continuous improvement every day and welcome new Freestoners to join us.

The Opportunity:

We are searching for a qualified candidate to join our Legal & Compliance team in an analyst role. Freestone is an SEC registered investment adviser and is also registered with the NFA and CFTC. The position is located in our Seattle office and reports directly to Freestone’s General Counsel. The successful candidate for this position will have a willingness to learn more about regulatory compliance within the financial services industry and will have a can-do attitude to roll up their sleeves and excel in a collegial, fast-paced environment. This role is located in our Seattle office.

Key Responsibilities:

• Assist compliance team with reviewing employee personal trading, outside business and gift and entertainment activities, including periodic attestations
• Serve as a resource for employees regarding questions about the firm’s legal and compliance work
• Assist compliance team with conducting the firm’s required annual compliance review
• Conduct ongoing compliance program testing and monitoring
• Promote and maintain a culture of compliance centered around Freestone’s three key principles: (1) Clients Come First; (2) Do the Right Thing; (3) Comply with Laws
• Assist with data compilation for regulatory and securities law filings
• Support administrative work for legal work, including document management and organization Conduct risk assessments and implement risk mitigation strategies across multiple areas (e.g., contracts, data privacy, regulatory reporting, operational and trading systems)

Your Experience:

• Bachelor’s Degree or higher
• Compliance certification such as CRCP or IACCP is a plus
• 1-3 years of compliance, legal or related experience in the financial services industry

Your Competencies:

• Proficiency in Microsoft Outlook, Word, Excel, and PowerPoint
• Solid planning, organizational, project management and communication skills
• Ability to handle highly sensitive matters at all levels of the firm with discretion and confidentiality
• Strong written and verbal communication skills
• Capacity to learn and excel new topics and projects regularly

Your Characteristics:

• Team oriented with the ability to build relationships and earn the respect of others
• Heightened attention to detail – must be meticulous and consistently accurate
• Committed to producing high quality work product
• Capacity and passion for being part of a fast-growing, dynamic office environment
• Strong intellect and appropriate self-confidence; comfortable and poised working with colleagues at varying levels and with different work styles
• Pro-activity and creativity in identifying issues, solutions, opportunities for efficiency
• Strong sense of integrity, loyalty and discretion

The expected annual base salary for this position is $55,000-$75,000. The position may also be available to receive a discretionary bonus based on company and individual performance. Our compensation and benefits package includes medical and prescription drug coverage, 401(k) contribution matching, group life, disability, long-term care, and accidental death insurance, ten (10) scheduled paid holidays per year, and 17 days of vacation per year.

Freestone is an equal opportunity employer. All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.