Compliance Associate
Job Summary
To support a growing investment advisory practice, the full-time Compliance Associate will coordinate annual compliance requirements, assist with ERISA and retirement products, and collaborate with the Investment Adviser Compliance team, all while working remotely.
Key responsibilities
- Coordinate RIA compliance requirements and assist with the development of controls for the investment advisory platform
- Oversee ERISA compliance requirements and ensure adherence to regulatory standards across retirement services and products
- Provide compliance operations support for various Advisory Solutions Group functions, including trading operations and fee billing
Required qualifications
- 2+ years of experience in financial services compliance or a related field
- Experience with ERISA compliance programs and understanding of fiduciary duties
- Proficiency in Microsoft Office Suite or related software
- Self-starter with the ability to prioritize competing projects and deadlines
- Demonstrated ability to effectively use AI tools and technologies in daily work tasks
Complete Job Description
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