Associate Compliance Specialist

Responsibilities

• Manage day-to-day compliance operations, including monitoring, tracking, and execution of key tasks.
• Maintain compliance data, records, and documentation to ensure accuracy and audit readiness.
• Support regulatory filings, reporting, and ongoing compliance obligations.
• Aid in developing and maintaining compliance policies, procedures, and internal controls.
• Own and enhance compliance reporting, dashboards, and data management processes.
• Support internal audits, compliance testing, and ongoing monitoring of regulatory requirements and changes impacting the firm.
• Collaborate with internal partners to streamline compliance review workflows and improve turnaround times.
• Work with product and technology teams on system enhancements, automation, and scalability.
• Identify and drive process improvements, including opportunities to leverage AI and automation.

Requirements

• 1–3 years of experience in compliance, operations, or a related role within financial services (RIA, TAMP, wealth management, or asset management preferred).
• Strong attention to detail and ability to manage multiple workflows with accuracy and accountability.
• Interest in compliance as a long-term career path, with a desire to take on increasing responsibility over time.
• Strong analytical and problem-solving skills, with a process-oriented mindset.
• Ability to work independently and take ownership of responsibilities in a fast-paced, evolving environment.
• Comfort working cross-functionally with internal teams and external partners.
• Interest in technology, automation, and AI, with a desire to improve efficiency and build scalable processes.
• Excellent communication and organizational skills.

Qualifications

• Bachelor’s degree required.