PERSONAL CAPITAL Junior Compliance Analyst Salary in the United States

How much does an Junior Compliance Analyst make at companies like PERSONAL CAPITAL in the United States? The average salary for Junior Compliance Analyst at companies like PERSONAL CAPITAL in the United States is $60,381 as of August 27, 2021, but the range typically falls between $51,231 and $69,530. Salary ranges can vary widely depending on many important factors, including education, certifications, additional skills, the number of years you have spent in your profession. With more online, real-time compensation data than any other website, Salary.com helps you determine your exact pay target.  View the Cost of Living in Major Cities

About PERSONAL CAPITAL

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What does an Junior Compliance Analyst do at companies like PERSONAL CAPITAL?

Personal Capital

Junior Compliance Analyst

 

The Junior Compliance Analyst will report to the Director of Compliance as part of a small, cohesive team of compliance professionals. This person will be a generalist with a love and appreciation for compliance activities; and will be involved in all aspects of Personal Capital’s compliance program.  Location preference is Dallas, Texas.

 

The Company:

Personal Capital is the pioneer and market leader in digital wealth management, disrupting the traditional $36 trillion U.S. wealth management market. The company is a hybrid of technology-driven advice complemented with human advisors, delivered virtually and directly to the consumer. Personal Capital’s technology can share with you insights on your net worth, spending habits, portfolio diversification, and fees in a matter of minutes. Through their financial advisory, the company provides a guided experience with a dedicated and trusted advisor. Personal Capital gives its customers the tools and advisory to simplify customers’ complexity around a constantly evolving life.

 

Personal Capital’s free personal finance app is utilized by millions of consumers helping them track nearly $1 trillion of their personal finances, all in one place. The company’s award-winning apps paved the way for its advisory firm, which now manages over $12 billion in personalized investment portfolios and high-yield savings for families in the U.S.  Personal Capital has roughly 23,000 investment clients in all 50 states and over 2 million people planning their financial lives through this technology.

 

Founded in 2009, The company is headquartered in Redwood Shores, with advisor centers in San Francisco, Denver, Dallas and Atlanta and currently has ~420 people. The company was named one of The Bay Area’s Workplaces by the Bay Area News Group this year and in Denver for five consecutive years since its opening.

 

Responsibilities:

  • Assist in all aspects of the Company’s compliance program (rule 206(4)-7 of the Investment Advisers Act of 1940) including collection of testing data, preparing data samples/sets, and performing testing and analyses.
  • Become familiar with the Investment Advisers Act of 1940 and work comfortably within regulatory framework.
  • Assist with advisory requests including verification of accredited investors, review of discretionary trading letters, and employee 3210 letters.
  • Perform a variety of ad hoc projects upon request.
  • Become familiar with the Company’s learning management system (LMS) - set up user profiles, assign lessons, track lessons, and help in the preparation and creation of compliance training content.
  • Marketing: review assigned marketing pieces, review of solicitors (AMP), review of advisory referral program.
  • Assist in the maintenance of employee outside brokerage accounts (additions, withdrawal requests, continual monitoring).
  • Assist in the monitoring of employee personal trading - updating restricted list, reviewing buy and sell requests, responding to violations and exceptions.
  • Assist in the monitoring of advisory emails, texts, phone calls and CRM system notes in adherence to the Company’s communications policies.
  • Work closely with Legal team to ensure proper legal review.

 

Requirements:

  • Minimum of 2+ years in a professional administrative capacity
  • BA/BS degree (business, econ, finance, or similar discipline preferred)
  • Microsoft Office proficiency: PowerPoint, Excel and Word. G-Suite experience also helpful
  • Strong business and analytical skills
  • Strong critical thinking skills
  • Strong research and writing skills
  • Attention to detail
  • Strong sense of project ownership and sense of responsibility
  • Ability to collaborate successfully with remote individuals and teams
  • Flexible approach to people and projects
  • Organized and able to stay focused in changing environments
  • Ability to prioritize tasks - strong time management skills
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$51,231 Low Average $60,381 High $69,530

Understand the total compensation opportunity for Junior Compliance Analyst at companies like PERSONAL CAPITAL, base salary plus other pay elements

Average Total Cash Compensation

Includes base and annual incentives

$51,231
$69,530
$60,381
The chart shows total cash compensation for the PERSONAL CAPITAL Junior Compliance Analyst in the United States, which includes base, and annual incentives can vary anywhere from $51,231 to $69,530 with an average total cash compensation of $60,381. Total compensation includes the value of any benefits received in addition to your salary and some of the benefits that are most commonly provided within a total compensation package including bonuses, commissions, paid time off, and Insurance. The total cash compensation may get paid differently by industry, location, and other factors.
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