The Compliance Associate will play a key role in supporting the Firm's compliance program across its affiliated entities to help ensure compliance with applicable regulations, firm policies, and client obligations. This role focuses on the day-to-day administration of core compliance functions, including code of ethics oversight, regulatory filings, policy administration, and examination readiness, while helping identify and mitigate compliance and conflicts-of-interest risk. The Associate will assist the Chief Compliance Officer and team with oversight of the Firm's compliance program and collaborate closely with investments, operations, legal, marketing, and finance teams to strengthen and evolve the Firm's compliance infrastructure.
This position requires strong analytical capabilities, familiarity with regulatory framework governing registered investment advisers, and a proactive approach to identifying compliance risks in a fast-paced environment. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.
Primary Responsibilities- Support the day-to-day administration of the Firm's compliance program, including monitor for potential violations of regulatory obligations and internal policies.
- Assist with the review and administration of the Code of Ethics, including personal trading, outside business activities, gifts and entertainment, and political contributions.
- Monitor and review electronic communications and correspondence for compliance with firm policies and applicable regulatory requirements.
- Support the preparation, filing, and maintenance of regulatory filings (e.g., Form ADV, Form PF, Form CRS, and state notice filings).
- Draft, update, and maintain compliance policies, procedures, and manuals across the Firm's affiliated entities.
- Perform risk assessments and targeted forensic testing of compliance controls.
- Assist with due diligence and screening of clients, vendors, and transactions against applicable restricted and watch lists.
- Partner with data analytics and technology teams to automate compliance monitoring, improve exception reporting, and refine oversight workflows.
- Conduct compliance reviews of new products, marketing materials, and business initiatives to evaluate regulatory risk.
- Stay informed of regulatory developments (e.g., SEC, FINRA) impacting the Firm's business and compliance program.
- Assist with the preparation for and response to regulatory examinations, audits, and internal reviews
- Lead or contribute to ad hoc compliance initiatives and projects as directed by the Chief Compliance Officer.
Required Qualifications: - 3-7+ years of experience with Compliance or Risk Management within the investment advisory or broader financial services industry
- Bachelor's degree is required.
- Working knowledge and understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
- Familiarity with regulatory frameworks of SEC and FINRA.
- Understanding of regulatory requirements for Investment Advisers including operational books and records requirements.
- Ability to identify patterns or anomalies in data and escalate appropriately.
- Experience auditing and performing risk assessments on cross functional processes. Skilled in evaluating potential business impacts and developing recommendations.
- Understanding of cybersecurity functions and processes and experience in testing of systems is a plus.
Skills and Competencies: - Ability to work on assignments independently, using a high level of judgment and take initiative in resolving problems.
- Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner.
- Strong ethical commitment.
- Excellent oral and written communication skills.
Physical Requirements:- Ability to sit or stand for extended periods while working at a computer; occasional local travel to client meetings as needed.
- Limited travel may be required.
Why Cerity Partners:Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:
- Health, dental, and vision insurance - day 1!
- 401(k) savings and investment plan options with 4% match
- Flexible PTO policy
- Parental Leave
- Financial assistance for advanced education and professional designations
- Opportunity to give back time to local communities
- Commuter benefits
