Compliance Associate

Duties And Responsibilities

• Support the implementation, testing, and documentation of the firm’s compliance policies and procedures.
• Conduct regular surveillance and forensic testing (e.g., personal trading, email review, advertising/marketing review, code of ethics).
• Maintain compliance calendars and logs to track regulatory filings, attestations, training, and policy review deadlines.
• Monitor marketing materials, social media content, and client communications for regulatory compliance under the SEC Marketing Rule.
• Aid in onboarding/offboarding processes for employees and access persons, including compliance training.
• Assist with the due diligence process on vendors, custodians, and other third-party service providers.
• Respond to compliance-related questions from team members and help promote a culture of compliance.
• Participate in internal audits and regulatory exams, gathering documentation and preparing responses.
• Stay current with regulatory developments and industry best practices to identify areas of risk or improvement.

Desired Qualifications

• Bachelor’s degree or higher from an accredited college or university
• 2–5 years of experience in financial services compliance, preferably with an RIA
• Working knowledge of the Investment Advisers Act of 1940
• Excellent organizational, communication, and analytical skills
• High attention to detail and strong ethical standards
• Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci