Governance, Risk, and Compliance Associate or Senior Associate - Asset Management Consulting

About the role

Weaver’s Governance, Risk, and Compliance (GRC) practice is seeking a motivated and detail‑oriented experienced Associate or Senior Associate to join our growing Asset Management Consulting (AMC) team. This role offers a unique opportunity to work with a dynamic group of professionals focused on delivering high‑quality compliance and risk management solutions to clients in the asset management industry. As a Governance, Risk, and Compliance Associate or Senior Associate, you will have proven SOX experience with large financial services, investment companies, and/or asset managers. This role will primarily focus on internal audit and SOX‑related work and will be responsible for the day‑to‑day project management of 1‑6 concurrent engagements. However, there will also be opportunities to work on asset management compliance‑related projects, including compliance program implementation, ongoing monitoring activities, and regulatory filing support. You will help support the execution of project planning, execution of engagement objectives, audit procedures, compliance program implementation, ongoing monitoring activities, and regular communications with client personnel. The ideal candidate is proactive, eager to learn, and demonstrates strong interpersonal and organizational skills.

Responsibilities

• Day‑to‑day project management of 1–6 concurrent engagements.
• Support execution of project planning, engagement objectives, audit procedures, compliance program implementation, and ongoing monitoring activities.
• Maintain regular communications with client personnel.
• Work on asset management compliance‑related projects, including compliance program implementation, ongoing monitoring activities, and regulatory filing support.
• Monitor regulatory updates and help adjust internal procedures as needed.
• Prepare and maintain regulatory filings (e.g., Forms ADV).
• Interpret investment guidelines and conduct pre‑trade and post‑trade compliance monitoring.

Requirements

• Bachelor’s degree in Accounting, Finance, Business, or a related field.
• 1+ years of experience in audit, consulting, or the investment management industry.
• Strong analytical and problem‑solving skills.
• Familiarity with GAAP, GAAS, the COSO internal control framework, Internal Audit Standards, and the Sarbanes‑Oxley Act (Section 404).
• SOX experience with large financial services, investment companies, and/or asset managers.
• Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks.
• Familiarity with the Investment Advisers Act of 1940.
• Excellent research skills and attention to detail.
• Ability to manage multiple projects and shifting priorities.
• Strong communication and interpersonal skills.
• Self‑motivated with a commitment to continuous learning.
• Proficiency in Microsoft Office Suite (Word, Excel,