Compliance Associate: Regulatory Risk & Ethics

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

Benefits offered by this job

Health insurance

401(k) with match

Flexible PTO

Parental Leave

Education assistance

Commuter benefits

Job summary

Cerity Partners seeks a Compliance Associate to support the firm's compliance program across affiliated entities, focusing on ethics oversight, regulatory filings, policy administration, and examination readiness. This role collaborates with investments, operations, legal, marketing, and finance teams to strengthen the compliance infrastructure.

The ideal candidate has 3-7+ years in compliance or risk within financial services, strong analytical skills, and a proactive approach to identifying

Qualifications

• 3-7+ years of experience in Compliance or Risk Management within the investment advisory or financial services industry.
• Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
• Familiarity with SEC and FINRA regulatory frameworks.
• Understanding of operational books and records requirements.
• Experience auditing and risk assessments on cross-functional processes.
• Ability to identify patterns or anomalies in data and escalate appropriately.
• Cybersecurity understanding is a plus.

Responsibilities

• Support day-to-day administration of the Firm’s compliance program and monitor potential regulatory violations.
• Assist with Code of Ethics reviews including personal trading, gifts, activities, and political contributions.
• Monitor electronic communications for compliance with policies and regulatory requirements.
• Assist with regulatory filings (e.g., Form ADV, Form PF, Form CRS, state notices).
• Draft and maintain compliance policies across affiliated entities.
• Perform risk assessments and targeted forensic testing of controls.
• Help with due diligence and screening of clients, vendors, and transactions.
• Collaborate with data analytics/tech teams to automate monitoring and improve reporting.
• Conduct compliance reviews of new products, materials, and business initiatives.
• Stay informed on SEC/FINRA developments and assist with regulatory examinations.

Skills

Detail-oriented

Analytical

Ethics

Communication

Data analysis

Independence

Cybersecurity

Education

Bachelor's degree

Job description

Cerity Partners seeks a Compliance Associate to support the firm's compliance program across affiliated entities, focusing on ethics oversight, regulatory filings, policy administration, and examination readiness. This role collaborates with investments, operations, legal, marketing, and finance teams to strengthen the compliance infrastructure.

The ideal candidate has 3-7+ years in compliance or risk within financial services, strong analytical skills, and a proactive approach to identifying