Compliance Associate
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Overview
Job Description
Asset Manager & RIA in Charlotte Metro area is seeking a Compliance Associate / Sr. Associate for a full-time position!
Summary
This role is responsible for supporting and enhancing the firm's compliance program by reviewing marketing and regulatory submissions, advising on policy adherence, investigating potential issues, and partnering with advisors to ensure efficient, compliant business growth.
Responsibilities
- Review marketing materials to make sure they follow rules and company policies
- Check and approve items like outside activities, personal trades, and vendor relationships
- Help update and improve compliance processes to make them clearer and more efficient
- Look into potential compliance issues and suggest next steps
- Research regulations and apply them to company policies
- Support onboarding of new advisors and assist with required registration filings
- Act as a go-to resource for advisors by answering compliance questions quickly and clearly
Qualifications
- No Series Licensing Necessary
- 2-8 years of relevant experience
- Independent Advisor support experience preferred
- Experience in ORION Compliance or similar systems is a plus, but not required
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.
