Compliance Associate

Pacer ETFs; Malvern (Chester County); On-site; USD 65,000 - 85,000; Full time

Job summary

Pacer Financial, Inc. and Pacer Advisors, Inc. seek a Compliance Associate to support regulatory responsibilities in a broker-dealer and registered investment adviser environment.

The role collaborates with Sales, Marketing, Operations, Finance, IT, and other stakeholders to maintain ongoing compliance processes. The ideal candidate has 1–4 years in compliance or related financial services, and is detail-oriented and organized, with the ability to handle filings, monitoring, and project work

Qualifications

• Bachelor’s degree in business, finance, accounting, economics, legal studies, or a related field.
• Experience or interest in compliance, registrations, or regulated financial services is preferred.

Responsibilities

• Support day-to-day compliance activities, monitoring, testing, reviews, and special projects for Pacer.
• Assist with FINRA licensing and registration activities, including onboarding and termination filings, Form U4 and Form U5 submissions, Form U4 amendments, representative and principal registrations, examination enrollments, fingerprints, state registrations, continuing education, and related recordkeeping.
• Monitor outstanding licensing and registration requirements, coordinate with employees and internal stakeholders, and escape incomplete, late, or potentially reportable matters.
• Assist with regulatory filings, examinations, audits, information requests, and the collection and organization of supporting documentation.
• Assist with employee onboarding, annual certifications, training, outside business activities, personal securities accounts, gifts and entertainment, political contributions, and other employee-compliance processes.
• Maintain compliance logs, files, books and records, procedures, checklists, and evidence of review in accordance with firm requirements.
• Conduct research on FINRA, SEC, state securities, and other regulatory developments and summarize their potential applicability to the firm.
• Help identify control gaps, exceptions, or potential compliance issues; document findings; coordinate follow-up; and escape concerns appropriately.
• Coordinate with internal departments, registered personnel, vendors, and other stakeholders on compliance and registration matters.
• Assist senior Compliance personnel with policy and procedure updates, risk assessments, reporting, remediation tracking, and other initiatives.
• Identify opportunities to improve workflows, strengthen controls, enhance data quality, and reduce manual or duplicative processes.
• Assume additional responsibilities as knowledge and experience develop.

Education

Bachelor’s degree in business, finance, accounting, economics, legal studies, or a related field

Job description

Pacer Financial, Inc. and Pacer Advisors, Inc. (collectively Pacer) is seeking a Compliance Associate to support the firm’s compliance, supervisory, licensing, registration, and regulatory responsibilities. This is a broad, generalist opportunity for a professional with approximately one to four years of compliance, registration, or related financial services experience who is interested in developing practical expertise within a regulated broker-dealer and registered investment adviser environment.

The position works closely with Sales, Marketing, Operations, Finance, Information Technology, and other internal and external stakeholders. The successful candidate will be detail-oriented, organized, and comfortable supporting recurring compliance processes, regulatory filings, recordkeeping, monitoring, research, and project-based initiatives.

Key Responsibilities

• Support day-to-day compliance activities, monitoring, testing, reviews, and special projects for Pacer
• Assist with FINRA licensing and registration activities, including onboarding and termination filings, Form U4 and Form U5 submissions, Form U4 amendments, representative and principal registrations, examination enrollments, fingerprints, state registrations, continuing education, and related recordkeeping.
• Monitor outstanding licensing and registration requirements, coordinate with employees and internal stakeholders, and escape incomplete, late, or potentially reportable matters.
• Assist with regulatory filings, examinations, audits, information requests, and the collection and organization of supporting documentation.
• Assist with employee onboarding, annual certifications, training, outside business activities, personal securities accounts, gifts and entertainment, political contributions, and other employee-compliance processes.
• Maintain compliance logs, files, books and records, procedures, checklists, and evidence of review in accordance with firm requirements.
• Conduct research on FINRA, SEC, state securities, and other regulatory developments and summarize their potential applicability to the firm.
• Help identify control gaps, exceptions, or potential compliance issues; document findings; coordinate follow-up; and escape concerns appropriately.
• Coordinate with internal departments, registered personnel, vendors, and other stakeholders on compliance and registration matters.
• Assist senior Compliance personnel with policy and procedure updates, risk assessments, reporting, remediation tracking, and other initiatives.
• Identify opportunities to improve workflows, strengthen controls, enhance data quality, and reduce manual or duplicative processes.
• Assume additional responsibilities as knowledge and experience develop.

Qualifications

Required

• Bachelor’s degree in business, finance, accounting, economics, legal studies, or a related field, or equivalent relevant industry experience.
• Ability to work onsite in Malvern, PA, 5-days a week.