Compliance Associate

Valeo Financial Advisors LLCCarmel, IN

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Overview

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On-site

Job Description

• Position Reports to: Chief Compliance Officer (CCO)• Department: Compliance• Location: Carmel, IN• Exemption Status: E

Position Overview:

The Compliance Associate will assist the Chief Compliance Officer in executing the firm’s compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for helping maintain the firm’s policies and procedures, performing regular compliance reviews, supporting regulatory filings, and assisting with internal education and audits.

The ideal candidate is highly organized, deadline-driven, and has experience working in the compliance department of a financial services firm.

Duties and Responsibilities:

Support the implementation, testing, and documentation of the firm’s compliance policies and procedures.
Conduct regular surveillance and forensic testing (e.g., personal trading, email review, advertising/marketing review, code of ethics).
Maintain compliance calendars and logs to track regulatory filings, attestations, training, and policy review deadlines.
Monitor marketing materials, social media content, and client communications for regulatory compliance under the SEC Marketing Rule.
Assist with onboarding/offboarding processes for employees and access persons, including compliance training.
Support the due diligence process on vendors, custodians, and other third-party service providers.
Respond to compliance-related questions from team members and help promote a culture of compliance.
Participate in internal audits and regulatory exams, gathering documentation and preparing responses.
Stay current with regulatory developments and industry best practices to identify areas of risk or improvement.

Desired Qualifications:

Bachelor’s degree or higher from an accredited college or university
2–5 years of experience in financial services compliance, preferably with an RIA
Working knowledge of the Investment Advisers Act of 1940
Excellent organizational, communication, and analytical skills
High attention to detail and strong ethical standards
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci

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FAQs About Compliance Associate Jobs at Valeo Financial Advisors LLC

What is the work location for this position at Valeo Financial Advisors LLC?

This job at Valeo Financial Advisors LLC is located in Carmel, IN, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.

What pay range can candidates expect for this role at Valeo Financial Advisors LLC?

Employer has not shared pay details for this role.

What employment applies to this position at Valeo Financial Advisors LLC?

The employer has not provided this information. This may be discussed during the hiring process.

What is the process to apply for this position at Valeo Financial Advisors LLC?

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