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Compliance Associate

Cerity Partners
Louisville, USA
Full-time
Mid · 3+ years experience
Hybrid
Discovered 2 weeks ago
Communication

Full Job Posting

Required Qualifications:

  • 3-7+ years of experience with Compliance or Risk Management within the investment advisory or broader financial services industry
  • Bachelor’s degree is required.
  • Working knowledge and understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
  • Familiarity with regulatory frameworks of SEC and FINRA.
  • Understanding of regulatory requirements for Investment Advisers including operational books and records requirements.
  • Ability to identify patterns or anomalies in data and escalate appropriately.
  • Experience auditing and performing risk assessments on cross functional processes. Skilled in evaluating potential business impacts and developing recommendations.
  • Understanding of cybersecurity functions and processes and experience in testing of systems is a plus.
  • Skills and Competencies:
  • Ability to work on assignments independently, using a high level of judgment and take initiative in resolving problems.
  • Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner.
  • Strong ethical commitment.
  • Excellent oral and written communication skills.
  • Physical Requirements:
  • Ability to sit or stand for extended periods while working at a computer; occasional local travel to client meetings as needed.
  • Limited travel may be required.
  • Why Cerity Partners:
  • Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:
  • Health, dental, and vision insurance – day 1!
  • 401(k) savings and investment plan options with 4% match
  • Flexible PTO policy
  • Parental Leave
  • Financial assistance for advanced education and professional designations
  • Opportunity to give back time to local communities
  • Commuter benefits
  • Cerity Partners is committed to providing an environment where all individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures, perspectives, and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race, religion, national origin, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law.
  • Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations, please reach out to [email protected]. Applicants must be authorized to work for any employer in the U.S.

Preferred Qualifications

  • Understanding of cybersecurity functions and processes and experience in testing of systems is a plus.

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