Bachelor's degree or higher with strong academic and professional background.
4-8 years experience in compliance, audit, or related roles; financial services experience is a bonus.
Strong analytical skills with a comfort in handling data.
Excellent written and verbal communication skills for producing clear reports.
Ability to exercise sound judgment and manage cross-functional processes.
High motivation with a proactive approach to problem-solving.
Creative and strategic thinker.
Responsibilities
Conduct compliance testing by interpreting regulatory requirements and documenting findings.
Perform regulatory analysis related to investment advisors, evaluating new business initiatives.
Monitor third-party service providers for compliance with standards.
Prepare and present compliance reports for senior stakeholders.
Develop trainings to support compliance initiatives and enhance regulatory awareness.
Benefits
Medical and prescription drug coverage.
401(k) contribution matching.
Wellness reimbursement.
Family building benefits.
Charitable gift match program.
Full Job Description
What you'll do day-to-day
Conduct compliance testing by interpreting regulatory requirements, designing test plans, coordinating and carrying out reviews, and documenting findings and recommendations.
Perform investment adviser-related regulatory analysis, including evaluating the impact of new business initiatives and policy changes.
Monitor third-party service providers to ensure compliance with contractual and regulatory standards.
Prepare and present internal metrics and compliance reports for senior stakeholders.
Develop trainings to support compliance initiatives and promote awareness of regulatory obligations across the firm.
What we're looking for
A bachelor's degree or higher, with an impressive record of academic and professional achievement.
Four to eight years of experience in compliance, audit, or a related legal or operational role; experience at a financial services firm, particularly an investment adviser, is a plus but not required.
Keen analytical skills, comfort with numbers and data, and a genuine interest in using technical tools to streamline processes.
Excellent written and verbal communication skills, with the ability to produce clear reports and materials for senior audiences.
Well-developed judgment and discretion, and the ability to manage large processes and coordinate workstreams across legal, compliance, operations, front office, and technology teams.
A high level of motivation, a record of taking initiative, well-developed problem-solving skills, and the ability to think creatively and strategically.
The expected annual base salary for this position is $140,000 to $180,000. Our compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
