Compliance Associate — Regulatory Excellence & Impact

Prosperity - An EisnerAmper Company

Owings Mills (MD)

On-site

USD 95,000 - 130,000

Full time

3 days ago

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Job summary

Prosperity – An EisnerAmper Company is seeking a detail-oriented Compliance professional to join our expanding Retirement Plan Services practice. You will support and enhance our regulatory program, review policies, and coordinate examinations in a fast-paced financial services environment.

The role offers collaboration across departments, opportunity to influence compliance culture, and exposure to a broad range of regulatory requirements.

Qualifications

Strong regulatory knowledge across SEC, FINRA and investment adviser guidelines.
Display strong analytical and problem-solving abilities with attention to detail.
Excellent communication and collaboration across teams.

Responsibilities

Support the day-to-day administration of the regulatory compliance program.
Review and update compliance policies to align with regulations.
Maintain the compliance calendar and ensure timely filings and reviews.
Assist with regulatory examinations, audits, and information requests.
Conduct due diligence on vendors and service providers.
Review marketing and client materials for regulatory compliance.
Support Code of Ethics program and employee attestations.
Stay informed on regulatory developments and communicate impacts to staff.

Skills

Attention to detail

Regulatory knowledge

Analytical thinking

Communication skills

Education

Bachelor's degree in Finance, Economics, Accounting

Tools

Microsoft Office

Job description

The role offers collaboration across departments, opportunity to influence compliance culture, and exposure to a broad range of regulatory requirements.

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