Compliance Associate

Compliance Associate

Position Summary

We are seeking a detail-oriented and collaborative Compliance Associate to support a broad range of investment and employee compliance activities within a dynamic financial services environment. This role will partner with Compliance, Legal, Operations, Human Resources, Risk, and business teams to help maintain effective compliance programs, monitor regulatory requirements, and support a strong culture of compliance across the organization.

The ideal candidate has 2–5 years of compliance or regulatory experience within the financial services industry and is eager to develop expertise across multiple compliance disciplines, including investment management, broker-dealer, and employee compliance.

Key Responsibilities

• Support the administration and ongoing enhancement of the firm's compliance program in accordance with applicable regulatory requirements and internal policies.


• Conduct compliance monitoring, surveillance, and testing activities, including electronic communications reviews, personal trading surveillance, investment guideline monitoring, and other risk-based compliance reviews.


• Assist with employee compliance matters, including personal securities transactions, Code of Ethics administration, outside business activities, private investments, political contributions, gifts and entertainment, and employee certifications.


• Support employee onboarding and offboarding processes, including regulatory registrations, disclosures, licensing, and related compliance requirements.


• Assist with regulatory registration activities, including processing regulatory filings, maintaining registration records, and coordinating licensing examinations and continuing education requirements.


• Prepare compliance reports, dashboards, certifications, and documentation for senior management, committees, and Boards of Directors, as appropriate.


• Assist with the administration of compliance programs related to investment advisers, registered funds, and broker-dealer activities.


• Support regulatory filings, examinations, inquiries, and internal or external audits.


• Draft, maintain, and update compliance policies, procedures, and related documentation.


• Assist with compliance training initiatives, including new hire orientation, annual training programs, and targeted regulatory education.


• Support control room activities, restricted and watch list administration, information barrier monitoring, and conflict-of-interest reviews, as applicable.


• Collaborate with internal business partners and external service providers to resolve compliance matters and promote adherence to regulatory and fiduciary obligations.


• Participate in regulatory change management initiatives, system implementations, testing, and other strategic compliance projects.


• Perform additional compliance-related responsibilities and special projects as assigned.

Qualifications

• Bachelor's degree in Finance, Business, Accounting, Economics, or a related field.


• 2–5 years of compliance, legal, regulatory, audit, or risk experience within the financial services industry.


• Experience supporting investment advisers, asset managers, broker-dealers, registered funds, ETFs, or other investment products is preferred.


• Working knowledge of federal securities regulations and compliance practices.


• Familiarity with employee compliance programs, Code of Ethics administration, personal trading, regulatory registrations, surveillance, or investment compliance is preferred.


• Experience with regulatory systems, compliance monitoring platforms, portfolio compliance systems, or FINRA registration tools is a plus.


• FINRA Series 7, Series 24, or other relevant licenses are preferred or willingness to obtain as required.


• Strong analytical, organizational, and problem-solving skills with exceptional attention to detail.


• Excellent written, verbal, and interpersonal communication skills.


• Ability to manage multiple priorities, work independently, and collaborate effectively across cross-functional teams.


• High level of professionalism, integrity, discretion, and sound judgment when handling confidential information.


• Proficiency in Microsoft Office applications, particularly Excel; experience with compliance technology platforms is a plus.