Compliance Associate

Cerity Partners Management LLC; Louisville (KY); On-site; USD 70,000 - 100,000; Full time

Benefits offered by this job

Health, dental, and vision insurance –

4% 401(k) match

Flexible PTO

Parental Leave

Education assistance

Community involvement

Commuter benefits

Job summary

Cerity Partners is seeking a Compliance Associate to support its compliance program across affiliated entities. The role focuses on the daily administration of core functions, including code of ethics oversight, regulatory filings, policy management, and exam readiness, while helping identify and mitigate risk.

The associate collaborates with investments, operations, legal, marketing, and finance to strengthen the compliance infrastructure.

Qualifications

• Strong analytical capabilities and regulatory understanding.
• Familiarity with Investment Advisers Act requirements.
• Ability to identify patterns or anomalies in data and escalate appropriately.

Responsibilities

• Support the day-to-day administration of the compliance program and monitor for violations.
• Assist with the review and administration of the Code of Ethics and related activities.
• Monitor electronic communications for compliance with firm policies and regulatory requirements.
• Support regulatory filings (e.g., Form ADV, Form PF, Form CRS, state notices).
• Draft, update, and maintain compliance policies and manuals across affiliated entities.
• Perform risk assessments and targeted testing of compliance controls.
• Assist with due diligence and screening of clients and vendors against restricted lists.
• Collaborate with data analytics and technology teams to automate monitoring and improve reporting.
• Conduct compliance reviews of new products and marketing materials for regulatory risk.
• Prepare for regulatory examinations and respond to inquiries; lead ad hoc initiatives as directed.

Skills

Analytical capabilities

Regulatory knowledge

Attention to detail

Ethical standards

Excellent communication

Proactive problem-solving

Cross-functional collaboration

Education

Bachelor's degree

Job description

The Compliance Associate will play a key role in supporting the Firm’s compliance program across its affiliated entities to help ensure compliance with applicable regulations, firm policies, and client obligations. This role focuses on the day-to-day administration of core compliance functions, including code of ethics oversight, regulatory filings, policy administration, and examination readiness, while helping identify and mitigate compliance and conflicts-of-interest risk. The Associate will assist the Chief Compliance Officer and team with oversight of the Firm’s compliance program and collaborate closely with investments, operations, legal, marketing, and finance teams to strengthen and evolve the Firm’s compliance infrastructure. This position requires strong analytical capabilities, familiarity with regulatory framework governing registered investment advisers, and a proactive approach to identifying compliance risks in a fast-paced environment. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.

Primary 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.

Required Qualifications:

• 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 escalation 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.

Skills and Competencies:

• Ability to work on assignments independently, using a high level of judgment and take initiative in resolving problems.
• Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner.
• Strong ethical commitment.
• Excellent oral and written communication skills.

Physical Requirements:

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.

Why Cerity Partners:

Our people drive our success by working together to deliver exceptional service to our clients.

• 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

Cerity Partners is committed to providing an environment where all individuals can be their authentic selves.

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.

Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs.

For those needing accommodations, please reach out to [e-mail].

Applicants must be authorized to work for any employer in the U.S.

Ultimately, outstanding wealth management is about people and relationships. Our people are the nucleus of Cerity Partners. Each colleague brings unique expertise, commitment and knowledge to the firm and it is by working together that we achieve our mission to have a positive impact on the financial well-being of our clients, colleagues and communities. Our people drive our success by working together to deliver exceptional service to our clients. We truly care about what we do.

Cerity Partners is one of the nation’s leading independent financial advisory firms. We serve high-net-worth individuals & their families, businesses, & their employees, and nonprofit organizations from our offices across the country.

Our in-house specialists of tax advisors, financial planners, investment professionals, & retirement plan consultants are passionate about and committed to providing financial advice & oversight.

At Cerity Partners, we believe in the long view. We work with clients who appreciate our comprehensive and sustained approach to wealth management. We don’t just look for short-term gains, we seek long-term growth.

We have the same approach to our people. We look for experienced and credentialed wealth management colleagues who can keep pace with us. We manage over $190 billion in assets under management for our clients. We are routinely recognized as a Top RIA Firm by Barron’s Advisor, Newsweek, USA Today, and more. The driving factor of our accelerated growth is our people. Located throughout the U.S., our teams consist of specialists who are helpful, knowledgeable, sincere, and have the perseverance and capability to go the extra mile for our clients. We consider our firm a community that works together to serve one common goal: Finding diverse solutions to suit diverse financial needs.