Governance, Risk, and Compliance Associate or Senior Associate - Asset Management Consulting

Weaver; Houston (TX); Híbrido; USD 72.500 - 90.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Flexible scheduled time off

Health benefits (medical, dental, vision)

401(k) plan

Descripción de la vacante

Weaver in Houston, TX is seeking a Governance, Risk, and Compliance Associate or Senior Associate to join their Asset Management Consulting team. This role involves managing multiple internal audit engagements and compliance projects, requiring strong analytical and problem-solving skills.

The ideal candidate will have a Bachelor's degree and relevant experience, with compensation ranging from $72,500 to $90,000, alongside competitive health benefits and a flexible work environment.

Formación

• 1+ years of experience in audit, consulting, or investment management.
• Familiarity with GAAP, GAAS, COSO framework, and SOX requirements.
• Understanding of asset management industry and SEC regulations.

Responsabilidades

• Manage 1-6 concurrent engagements focusing on internal audit and SOX-related work.
• Support asset management compliance-related projects.
• Prepare and maintain regulatory filings.

Conocimientos

Analytical skills

Problem-solving skills

Interpersonal skills

Attention to detail

Communication skills

Proficiency in Microsoft Office Suite

Educación

Bachelor’s degree in Accounting, Finance, Business, or related field

Herramientas

Microsoft Excel

Microsoft Word

Descripción del empleo

Governance, Risk, and Compliance Associate or Senior Associate - Asset Management Consulting

Job Category: Advisory

Requisition Number: GOVER003092

• Full-Time
• Hybrid

Locations

Showing 1 location

Houston, TX
Houston, TX
4400 POST OAK PARKWAY
SUITE 1100
HOUSTON, TX 77027, USA

Weaver’s Governance, Risk, and Compliance (GRC) practice is seeking a motivated and detail-oriented experienced Associate or Senior Associate to join our growing Asset Management Consulting (AMC) team. This role offers a unique opportunity to work with a dynamic group of professionals focused on delivering high-quality compliance and risk management solutions to clients in the asset management industry.

As a Governance, Risk, and Compliance Associate or Senior Associate, you will have proven SOX experience with large financial services, investment companies, and/or asset managers. This role will primarily focus on internal audit and SOX-related work and will be responsible for the day‑to‑day project management of 1-6 concurrent engagements. However, there will also be opportunities to work on asset management compliance‑related projects, including compliance program implementation, ongoing monitoring activities, and regulatory filing support. You will help support the execution of project planning, execution of engagement objectives, audit procedures, compliance program implementation, ongoing monitoring activities, and regular communications with client personnel.

The ideal candidate is proactive, eager to learn, and demonstrates strong interpersonal and organizational skills. At Weaver, you’ll benefit from a flexible work environment, diverse and meaningful client engagements, and a culture that values innovation and collaboration.

To be successful in this role, the following qualifications are required:

• Bachelor’s degree in Accounting, Finance, Business, or a related field.
• 1+ years of experience in audit, consulting, or the investment management industry
• Strong analytical and problem‑solving skills
• Familiarity with GAAP, GAAS, the COSO internal control framework, Internal Audit Standards, and the Sarbanes Oxley Act and the related requirements of Section 404
• SOX experience with large financial services, investment companies, and asset managers
• Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks
• Familiarity with the Investment Advisers Act of 1940
• Monitor regulatory updates and help adjust internal procedures as needed
• Prepare and maintain regulatory filings (e.g., Forms ADV)
• Interpret investment guidelines and conduct pre‑trade and post‑trade compliance monitoring
• Excellent research skills and attention to detail
• Ability to manage multiple projects and shifting priorities
• Strong communication and interpersonal skills
• Self‑motivated with a commitment to continuous learning
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint)
• Flexibility to accommodate client or team meetings outside standard hours
• Ability to be on‑site at clients, as requested

Additionally, the following qualifications are preferred:

• CPA, CPA candidate, CIA, CIA candidate, or a different relevant certification
• Master’s degree in Business, Accounting, or a related field
• Experience with various asset classes, including fixed income, equities, and derivatives
• Advanced understanding of financial reporting, transaction cycles, and business processes
• Experience with compliance program development and maintenance
• Ability to mentor and help develop less experienced staff

Compensation and Benefits: At Weaver, our most valuable resources is our people. We take the time to evaluate our employees' wants and needs and invest our resources accordingly. A reasonable estimate of the compensation range for this position is $72,500 to $90,000. Actual compensation will be based on a variety of factors including but not limited to experience, skills, certifications, and geographical location. In addition to compensation packages, Weaver offers competitive health benefits, such as medical, dental, vision, disability, life insurance, and a 401(k) plan. Further, we support our employees by offering flexible scheduled time off (STO), minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days!

We also offer in‑house CPE and learning opportunities through our internal Learning & Development department. Our multi‑faceted internal learning program includes technical improvement, practice development, management/leadership training, and whole‑life growth. Our goal is to balance both high development with high performance to meet the long‑term goals of each individual, team, and our firm.

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.