Compliance Associate

Job Summary

To support a growing compliance team, the hybrid Compliance Associate will assist in implementing and managing regulatory compliance programs, monitor compliance policies, and collaborate with various departments while working from Torrance, Boston, Salt Lake City, or Media.

Key responsibilities

• Assist in day-to-day monitoring of compliance-related policies and procedures
• Conduct compliance program reviews and audits, including data entry and maintenance in Compliance Management Software systems
• Communicate regulatory changes and assist in implementing compliance initiatives and special projects as directed

Required qualifications

• 2+ years of experience in an administrative role, preferably within the Registered Investment Adviser space
• 1-3 years of experience in a regulated financial services environment preferred
• Strong interest in compliance and risk management functions
• Proficiency in Microsoft Office, particularly Word and Excel
• Ability to work effectively in a fast-paced, team-oriented environment