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.

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

• Support the execution of project planning, execution of engagement objectives, audit procedures, compliance program implementation, ongoing monitoring activities, and regular communications with client personnel
• 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
• Manage multiple projects and shifting priorities
• Accommodate client or team meetings outside standard hours as needed
• Be on-site at clients as requested

Required Qualifications

• 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 and the related requirements of Section 404
• SOX experience with large financial services, investment companies, and 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
• Strong communication and interpersonal skills
• Self-motivated with a commitment to continuous learning
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint)

Preferred Qualifications

• CPA, CPA candidate, CIA, CIA candidate, or a different relevant certification
• Master's degree in Business, Accounting, or a related field
• Experience with various asset classes, including fixed income, equities, and derivatives
• Advanced understanding of financial reporting, transaction cycles, and business processes
• Experience with compliance program development and maintenance
• Ability to mentor and help develop less experienced staff

Benefits

• Medical, dental, vision, disability, and life insurance
• 401(k) plan
• Flexible scheduled time off (STO)
• Minimum of 56 hours of sick and safe leave
• 11 holidays and 2 scheduled recharge days
• In-house CPE and learning opportunities through the internal Learning & Development department
• Multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth