Compliance Associate

Responsibilities: Support the firm’s compliance program by maintaining policies, procedures, documentation, and employee certifications. Review employee disclosures and activities, including personal investments, outside business interests, and gifts and entertainment, escalating potential concerns as appropriate. Conduct compliance reviews and testing to assess adherence to internal policies and applicable regulatory requirements. Monitor investment activity, investigate exceptions, and coordinate with internal teams to resolve outstanding issues. Help strengthen compliance controls, improve monitoring processes, and maintain accurate records of reviews and findings. Assist with updating compliance manuals, supervisory procedures, and departmental guidance. Prepare and maintain regulatory filings and disclosures in coordination with compliance leadership. Track regulatory developments and support updates to policies, procedures, and business practices. Coordinate employee training and monitor completion of required certifications and continuing education. Perform other duties, as needed.

Qualifications: Bachelor’s degree in Finance, Business, Accounting, or a related field. 3–5+ years of compliance experience within financial services, investment management, or a related regulated environment. Relevant securities licenses preferred; ability to obtain required registrations within the established timeframe. Experience with compliance monitoring systems, surveillance tools, or employee disclosure platforms. Working knowledge of financial services regulations, compliance testing, employee conduct policies, and regulatory reporting. Strong analytical and problem-solving skills, with the ability to investigate issues and document findings clearly. Strong writing skills and experience preparing or maintaining policies, procedures, and compliance materials.