DescriptionJob Summary:GGHC is seeking a detail-oriented, proactive Compliance Associate to join its compliance team. The Compliance Associate will support the firm's compliance efforts by helping ensure adherence to applicable laws, regulations, and internal policies and procedures. This role will assist with employee activity monitoring, support regulatory filings, audits and inquiries, policy and procedure maintenance, compliance training, and other core compliance functions.
Code of Ethics & Employee Compliance- Code of Ethics Administration: Assist in administering the firm's Code of Ethics program (SEC Rule 204A-1 / FINRA rules), including oversight of annual employee attestations and certification processes.
- Employee Activity Surveillance: Conduct routine monitoring, trade reviews, and escalation processes for personal securities transactions, Outside Business Activities (OBAs), Private Securities Transactions (PSTs), and Gifts & Entertainment.
- Policy Enhancement: Support the implementation, maintenance, and ongoing enhancement of employee compliance policies to ensure full alignment with regulatory updates and firm standards.
Compliance Testing & Discretionary Account Surveillance- Periodic Testing Program: Execute periodic testing under the firm's SEC Rule 206(4)-7 and FINRA Rule 3120/3110 supervisory control programs.
- Discretionary SMA Monitoring: Perform routine surveillance on discretionary account trading and commission structures, best execution, and trade allocation policies.
- Daily Operations: Support daily compliance workflows, trade monitoring alerts, and operational department initiatives.
Manuals, Regulatory Filings - Manual Maintenance: Assist the Chief Compliance Officer (CCO) with implementing the core compliance program, updating the RIA Compliance Manual, Written Supervisory Procedures (WSPs), and desktop procedures as needed.
- Regulatory Disclosures: Prepare, update, and file key regulatory disclosure documents, including Form ADV (Parts 1 & 2), Form BD, and Form CRS.
- Regulatory Intelligence: Monitor SEC and FINRA regulatory developments, maintain current knowledge of industry changes, and analyze their operational impact on firm policies and procedures.
Regulatory Audits, Training & Support- Training & CE Oversight: Coordinate and deliver compliance training for registered and unregistered personnel, including oversight of required Regulatory Element and Firm Element Continuing Education (CE) courses.
- Audit & Exam Support: Assist the CCO in preparing for regulatory examinations (SEC, FINRA), managing document requests, and executing firm-wide compliance projects.
- Special Projects: Provide active support for ad hoc compliance initiatives and cross-functional firm projects.
Required Skills and Qualifications:
- Must successfully obtain the FINRA SIE, Series 7, and Series 24 licenses within the first nine (9) months of employment.
- 3-5 years of direct compliance experience at an SEC-registered RIA, FINRA Broker-Dealer or dual-registered firm.
- Experience with trade monitoring and compliance platforms.
- Strong analytics and drafting skills; ability to manage multiple regulatory deadlines in a fast-paced environment.
- Strong verbal and written communication skills, with the ability to communicate complex compliance topics clearly and effectively.
- Detail-oriented with the ability to manage multiple priorities, meet deadlines, and follow through on open items.
Salary Range: $130,000 - $150,000 
