Our Compliance Associate role offers a unique opportunity to learn from experienced industry professionals while gaining hands-on exposure to regulatory oversight, compliance testing, audits, and firm-wide compliance initiatives. We're seeking a detail-oriented and motivated professional who thrives in a fast-paced environment and is eager to build a long-term career in financial services compliance!
The Compliance Associate is responsible for assisting in the administration of the firm’s compliance program to meet regulatory requirements. The role is ideally suited for an individual who is eager to learn and thrives in a fast-paced environment.
In this role, you can expect to focus in the following areas:
Assist in the day-to-day operation of the Compliance Program
Perform testing and audits to support the surveillance of the firm's compliance policies
Assist with personal securities monitoring
Assist in the preparation of data needed for routine regulatory filings
Assist with proxy voting administration
Be a conduit for discovering or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
Ensure proper reporting of violations or potential violations to the CCO
Assist in any external examinations performed by regulators
Assist in preparing data requested by auditors for surprise custody exam and annual CEFEX renewal
Maintain team approach by assisting and filling in for others
This position typically requires the following qualifications:
Collaborative, integrated model across advisory, tax, and planning—no silos
Growth-oriented firm, offering meaningful opportunities for career development and long-term impact
Values-driven culture, grounded in excellence, integrity, lifelong learning, respect, growth, and servant leadership
Majority employee-owned, giving our team a shared stake in our long-term success
At Savant, we invest in our people—supporting both their well-being and long-term growth.
We take a market-based approach to compensation. The expected base hourly range for this role is $24.00 - $33.00 an hour, final pay determined by experience, skills, and location. This role may also be eligible for additional incentive compensation based on responsibilities and performance.
Core Benefits (Effective Day One):
Medical, dental, and vision coverage with multiple plan options
Health Savings Account (HSA) or Flexible Spending Account (FSA)
Company-paid life insurance, AD&D, and disability coverage
Financial & Long-Term Rewards:
Generous paid time off, plus at least 10 paid holidays
Annual “Savantiversary” day
Summer Hours (shorter work weeks during the summer)
Parental leave, personal leave, and other life-event support
Well-Being & Everyday Perks:
Employee Assistance Program (EAP)
Wellness reimbursements (e.g., gym memberships)
Flexible “Dress for Your Day” approach
We’re happy to share more details about our benefits and total rewards during the hiring process.
Take your career to new heights, apply today!
All applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.
We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required of the incumbent in this position. Any combination of equivalent education and work experience will be considered.
Savant Capital LLC, is an Equal Opportunity Employer
