Senior Compliance Associate

Job Summary

A company is looking for a Compliance Senior Associate who has experience in SEC-registered investment advisers or wealth-management firms.

Key Responsibilities

• Support and evolve the firm's compliance program alongside senior compliance leadership
• Process regulatory filings and monitor regulatory changes, providing updates to stakeholders
• Conduct compliance testing, audits, and training while identifying emerging compliance risks

Required Qualifications

• 3 - 7+ years of compliance experience in SEC-registered investment advisers or wealth-management firms
• Working knowledge of the Investment Advisers Act of 1940 and related regulatory filings
• Experience with trade oversight and compliance documentation
• Ability to operate in a fast-paced environment and adapt to shifting priorities
• Desire to grow into a more senior compliance role over time