Compliance Associate

GeoWealth; Chicago (IL); Hybrid; USD 80,000 - 110,000; Full time

Job summary

GeoWealth is looking for a Compliance Associate to join their team in Chicago. The role includes monitoring compliance with laws and regulations and developing internal compliance policies. Ideal candidates will have a Bachelor's degree and experience in compliance or risk management.

Benefits

Flexible PTO

Performance-based annual bonus

Medical, Dental, and Vision insurance

401(k) with company match

Weekly catered lunches

Qualifications

• Minimum of 2–4 years of experience in compliance, auditing, or risk management.
• Experience with compliance testing and monitoring is preferred.
• Familiarity with regulatory frameworks applicable to RIAs.

Responsibilities

• Assist in compliance monitoring and testing procedures.
• Prepare compliance-related reports for management.
• Help develop and improve compliance policies and procedures.

Skills

Attention to detail

Analytical abilities

Communication skills

Education

Bachelor’s degree

Tools

Microsoft Excel

Job description

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This range is provided by GeoWealth. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$80,000.00/yr - $110,000.00/yr

Direct message the job poster from GeoWealth

SVP, Head of Marketing @ GeoWealth - TAMP & Tech for RIAs

Compliance Associate: Chicago, IL or Oak Brook, IL

_______________

OPPORTUNITY

GeoWealth is a Chicago-based fintech firm that offers an award-winning digital advisory platform, including Turnkey Asset Management Platform (“TAMP”) capabilities. We deliver a comprehensive and fully integrated wealth management technology platform to professionals in the financial services industry.

We are seeking a proactive and detail-oriented Compliance Associate to join our growing team at GeoWealth, an SEC Registered Investment Adviser and TAMP Provider. This role will be responsible for assisting with the development, implementation, and monitoring of compliance policies and procedures. A key component of the role will include conducting compliance testing and monitoring activities to ensure adherence to regulatory requirements and internal policies.

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RESPONSIBILITIES

Compliance Monitoring & Testing

• Assist in the development and execution of routine compliance monitoring and testing procedures to ensure compliance with the Investment Advisers Act of 1940, SEC rules, state regulations, and firm-specific policies.
• Conduct periodic reviews of key areas of the business, including trading activities, portfolio management, client communications, and advertising.
• Prepare and maintain records of compliance testing results, identifying any gaps or potential issues and working with the appropriate teams to address them.

Regulatory Compliance

• Stay current with regulatory changes that affect the RIA industry, including SEC regulations, FINRA guidelines, and state-specific requirements.
• Assist in the preparation of regulatory filings such as Form ADV, Form 13F and other required documents, ensuring timely and accurate submissions.

Policy and Procedure Development

• Assist in the development, review, and enhancement of internal compliance policies and procedures to ensure they reflect current laws, regulations, and best practices.
• Help in implementing compliance training programs for employees to raise awareness of compliance standards and procedures.

Reporting and Documentation

• Assist in the preparation of compliance-related reports for management and the board of directors, including results of testing, monitoring activities, and any compliance incidents or breaches.
• Maintain accurate and up-to-date compliance documentation, ensuring records are kept in accordance with regulatory requirements and internal policy.

Risk Management and SOC Compliance

• Identify and escalate potential compliance risks or issues, recommending corrective actions or policy changes as necessary.
• Support the firm in its efforts to mitigate compliance risks by ensuring appropriate controls and monitoring mechanisms are in place.
• Support the firm’s SOC Compliance program in overseeing and maintaining the organization’s security controls

_______________

SKILLS, KNOWLEDGE AND EXPERIENCE

Education

• Bachelor’s degree required. Field of study in Finance, Accounting, Business, or Law is a plus.

Experience

• Minimum of 2–4 years of experience in compliance, auditing, or risk management, ideally within the investment advisory or financial services industry.
• Experience with compliance testing and monitoring is strongly preferred.
• Familiarity with regulatory frameworks applicable to RIAs, including the SEC, state securities laws, and the Investment Advisers Act of 1940.

Skills and Abilities

• Strong knowledge of compliance testing methodologies and tools, as well as proficiency in compliance monitoring platforms.
• Excellent written and verbal communication skills, with the ability to effectively communicate with internal stakeholders and regulators.
• Attention to detail and strong analytical abilities, with the ability to identify issues and recommend practical solutions.
• Proficient in Microsoft Excel for data analysis, including advanced functions such as VLOOKUP, pivot tables, and complex formulas.

Personal Characteristics

• Strong ethical standards and professional integrity.
• Ability to work independently and as part of a team.
• Proactive, self-motivated, and solution-oriented with a strong sense of accountability.

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COMPANY CULTURE & PERKS – HIGHLIGHTS:

• Casual work environment with fun, hard-working, and open-minded coworkers
• Competitive salary with opportunity for performance-based annual bonus
• Opportunities to up-skill, explore new responsibilities, and network across departments
• Defined and undefined career pathways allowing you to grow your own way
• Flexible PTO and work schedule to ensure our team balances work and life
• Hybrid work schedule, with three days in the office and two days working from home
• Maternity and paternity leave

Taking Care of Your Future ️

• Medical, Dental, and Vision, Disability insurance
• Free access to Spring Health, a comprehensive mental health solution
• 401(k) with company match and a broad selection of investments
• Voluntary insurance: short-term disability, long-term disability, and life insurance
• FSA and transit benefits for employees that contribute pre-tax dollars

Other Fun Stuff

• Modern office space on Chicago’s Magnificent Mile with free on-site gym and nearby parking
• Weekly catered lunches in the Chicago office, plus monthly happy hours
• Stocked kitchen in Chicago with snacks and drinks
• GeoWealth was recognized as “Best Place to Work” by Purpose Job’s 2025, 2024 and 2022
• GeoWealth was recognized as “Best Place to Work” by Built In in 2024, 2023 and 2022

_______________

LOCATION

Candidates will be expected to maintain a hybrid in-office schedule. Role can be based at either GeoWealth office location:

• 444 N. Michigan Ave., Suite 3150, Chicago, IL 60611 (Home Office)
• 700 Commercial Dr., Suite 160, Oak Brook, IL 60523

_______________

SALARY RANGE

This is an estimated range based on the circumstances at the time of posting, however, may change based on a combination of factors, including but not limited to skills, experience, education, market factors, geographical location, budget, and demand.

GeoWealth is an equal employment opportunity employer and does not discriminate in its employment decisions on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, physical or mental disability, or on any other basis that would be in violation of any applicable federal, state or local law. Any offer of employment is contingent upon a background check.

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance, Administrative, and Other

• Industries

  IT Services and IT Consulting

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

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