An established investment advisory compliance consulting firm is seeking an entry-level Compliance Associate to work closely with one of the firm’s experienced compliance advisors. This is an excellent opportunity for a recent college graduate interested in beginning a professional career in the financial services industry.
No prior compliance or financial services experience is required. Training will be provided.
Responsibilities will include:
- Reviewing and monitoring client business communications for compliance purposes;
- Assisting with management of the compliance advisor’s inbox, including identifying priorities, deadlines, and follow-up items;
- Maintaining internal compliance records and documentation;
- Assisting with the preparation, completion, and review of regulatory reports and filings;
- Tracking projects and recurring compliance responsibilities;
- Performing research and administrative support related to client compliance matters; and
- Assisting the compliance team with other projects as needed.
The ideal candidate will have a four-year college degree in any field and an interest in developing a career in financial services and regulatory compliance with a focus on Investment Adviser Act of 1940. We are looking for someone who is organized, detail-oriented, dependable, comfortable working with confidential information, and able to manage multiple projects and deadlines.
Candidates should have basic proficiency with Microsoft Office and be comfortable learning new technology, software platforms, and CRM systems.
This is primarily an in-office position, particularly during the initial training period. We strive to provide reasonable scheduling flexibility while ensuring the associate receives the training, supervision, and hands-on experience necessary to succeed. The position is part-time with the potential for full-time.
The position offers significant exposure to the investment advisory industry and the opportunity to develop into a compliance professional with increasing responsibility over time.
Pay: $20.00 - $25.00 per hour
Benefits:
- 401(k)
- 401(k) matching
- Flexible schedule
- Paid time off
- Parental leave
- Professional development assistance
Education:
Work Location: In person
