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About the Role
The Compliance Associate will support the Firm’s compliance program across its affiliated entities, ensuring adherence to regulations, firm policies, and client obligations. This role focuses on daily administration of core compliance functions, including code of ethics oversight, regulatory filings, policy administration, and examination readiness, while identifying and mitigating compliance and conflicts-of-interest risks. The Associate will collaborate with various teams to strengthen the Firm’s compliance infrastructure.
Responsibilities
- Support the day-to-day administration of the Firm’s compliance program, including monitor for potential violations of regulatory obligations and internal policies.
- Assist with the review and administration of the Code of Ethics, including personal trading, outside business activities, gifts and entertainment, and political contributions.
- Monitor and review electronic communications and correspondence for compliance with firm policies and applicable regulatory requirements.
- Support the preparation, filing, and maintenance of regulatory filings (e.g., Form ADV, Form PF, Form CRS, and state notice filings).
- Draft, update, and maintain compliance policies, procedures, and manuals across the Firm’s affiliated entities.
- Perform risk assessments and targeted forensic testing of compliance controls.
- Assist with due diligence and screening of clients, vendors, and transactions against applicable restricted and watch lists.
- Partner with data analytics and technology teams to automate compliance monitoring, improve exception reporting, and refine oversight workflows.
- Conduct compliance reviews of new products, marketing materials, and business initiatives to evaluate regulatory risk.
- Stay informed of regulatory developments (e.g., SEC, FINRA) impacting the Firm’s business and compliance program.
- Assist with the preparation for and response to regulatory examinations, audits, and internal reviews.
- Lead or contribute to ad hoc compliance initiatives and projects as directed by the Chief Compliance Officer.
Requirements
- 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.
- 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.
- Applicants must be authorized to work for any employer in the U.S.
Skills
- Analytical capabilities
- Proactive approach to identifying compliance risks
- Detail-oriented
- Organized
- Highly proficient
- Ability to work in a fast-paced, deadline driven environment
- Ability to solve complex problems in a collaborative manner
- Strong ethical commitment
- Excellent oral and written communication skills
Location
- Local travel to client meetings as needed
Work Type
- Full-time
Experience Level
- 3-7+ years
Education Level
- Bachelor's degree
Benefits
- 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
About the Company
- Our people drive our success by working together to deliver exceptional service to our clients.
- Cerity Partners is committed to providing an environment where all individuals can be their authentic selves.
- Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs.
Equal Opportunity
- 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.
- For those needing accommodations, please reach out to careers@ceritypartners.com.