Regulatory Compliance & Risk 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

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.