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Compliance Associate
EisnerAmper. Support the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance, including monitoring and maintaining compliance programs, conducting due diligence, and supporting regulatory examinations. Proficient in collaborating with stakeholders and adapting to evolving regulatory requirements while ensuring ethical conduct and continuous improvement.
Highest-signal resume keywords
Regulatory Compliance Program ManagementExperience with SEC and FINRA RequirementsSeries 65 LicenseRegulatory Examination SupportMicrosoft Office Proficiency
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory ComplianceDue Diligence ReviewsCompliance MonitoringInternal AuditsRegulatory FilingsPolicy ImplementationAnalytical ThinkingAttention to DetailProblem-SolvingOrganizational Skills
Soft Skills
Interpersonal SkillsCollaborationCommunicationAdaptabilityIntegrity
Tools & Technologies
Microsoft ExcelMicrosoft WordMicrosoft Outlook
Certifications & Qualifications
Series 65 License
Industry Keywords
Registered Investment AdviserBroker-DealerWealth ManagementFinancial ServicesCompliance PoliciesCode of EthicsRegulatory DevelopmentsInternal ReviewsClient-Facing MaterialsCompliance Calendar
About the role
Key responsibilities & impact- Support the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program
- Assist with reviewing, updating, and implementing compliance policies and procedures
- Maintain and monitor the compliance calendar, including regulatory filings, internal reviews, and compliance obligations
- Review new account opening documentation for completeness, accuracy, and compliance
- Assist with regulatory examinations, audits, and information requests by gathering documentation and coordinating responses
- Conduct due diligence reviews of vendors and third-party service providers
- Review marketing, advertising, and client-facing materials for regulatory and policy compliance
- Support the Code of Ethics program, including employee attestations, personal trading reviews, and compliance monitoring
- Monitor regulatory developments and industry trends and communicate relevant updates
- Serve as a resource for employees regarding compliance questions and escalate potential concerns
- Collaborate with internal stakeholders on process improvements and stronger compliance practices
- Participate in special projects and other compliance initiatives
- Travel occasionally to firm offices and training events as required
Requirements
What you’ll need- Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field
- 3–5 years of experience in compliance, regulatory affairs, audit, operations, or the financial services industry
- Experience working within a Registered Investment Adviser (RIA), broker-dealer, wealth management firm, or similar financial services organization preferred
- Working knowledge of SEC, FINRA, and investment adviser regulatory requirements
- Series 65 license preferred
- Experience supporting regulatory examinations, compliance monitoring, or internal audits
- Ability to exercise sound judgment, maintain confidentiality, and demonstrate integrity and professionalism
- Strong interpersonal skills and ability to collaborate across departments and communicate with employees at all levels
- Ability to adapt to changing regulatory requirements and thrive in a fast-paced, evolving environment
- Commitment to compliance, ethical conduct, and continuous improvement
- Proficiency in Microsoft Office applications, including Excel, Word, and Outlook
- Strong organizational skills and ability to manage multiple priorities and meet deadlines
- Excellent attention to detail, analytical thinking, and problem-solving abilities
- Strong written and verbal communication skills
Benefits
Comp & perks- Flexibility to manage your days in support of work/life balance
- Culture recognized with multiple top “Places to Work” awards
- Collaborative and inclusive workplace culture
- Opportunities to participate in special projects and compliance initiatives
- Occasional travel to firm offices and training events