Compliance Associate

Cerity Partners; Louisville (KY); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health, dental, and vision insurance –

401(k) with 4% match

Flexible PTO policy

Parental Leave

Education assistance for professional…

Opportunity to give back time to local

Commuter benefits

Job summary

Cerit y Partners is seeking a Compliance Associate to support the firm’s compliance program across affiliated entities. You will assist with ethics oversight, regulatory filings, policy administration, and examination readiness, coordinating with investments, operations, legal, marketing, and finance teams to strengthen compliance infrastructure.

The role emphasizes day-to-day administration, risk assessments, and collaboration with technology to automate monitoring.

Qualifications

• 3-7+ years of experience in Compliance or Risk Management within financial services.
• Bachelor’s degree is required.
• Familiarity with SEC/FINRA regulations and Investment Advisers Act knowledge.
• Understanding operational books and records requirements for advisers.
• Ability to identify patterns or anomalies in data and escalate appropriately.
• Experience auditing and risk assessments across processes.
• Knowledge of cybersecurity processes is a plus.

Responsibilities

• Support day-to-day administration of the compliance program and monitor for violations.
• Review and administer the Code of Ethics including personal trading and gifts.
• Monitor electronic communications for policy/regulatory compliance.
• Prepare, file, and maintain regulatory filings (e.g., Form ADV, PF, CRS).
• Draft and maintain compliance policies and procedures.
• Perform risk assessments and targeted forensic testing of controls.
• Screen clients, vendors, and transactions against restricted lists.
• Collaborate with data analytics/IT to automate monitoring and workflows.
• Conduct compliance reviews of new products and marketing materials.
• Stay informed on regulatory developments affecting the firm.
• Assist with examinations, audits and internal reviews.
• Lead or contribute to ad hoc compliance initiatives.

Skills

Independence

Detail-oriented

Ethical integrity

Communication skills

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.

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 escalates 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. Below is a glimpse of the key elements of our total rewards package:

• 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.