SEC Compliance Associate: ADV & Filings Specialist

Leeds Professional Resources; Florida; On-site; USD 60,000 - 90,000; Full time

Job summary

Leeds Professional Resources seeks a detail-oriented Compliance Associate for a growing Registered Investment Adviser. You will support the SEC reporting, maintain the firm's compliance program, and assist the CCO with examinations and ongoing monitoring.

Fluency in English and Spanish, a degree in Finance/Accounting/Business, and hands-on experience with Form ADV and Form CRS are preferred. The role emphasizes meticulous records, timely regulatory submissions, and effective communication with

Qualifications

• Bachelor’s degree in Finance, Accounting, Business, or Legal Studies preferred.
• Experience in compliance within an SEC-registered adviser or financial firm.
• Strong knowledge of Investment Advisers Act of 1940 and SEC rules.
• Fluency in English and Spanish.
• Hands-on experience preparing Form ADV and Form CRS filings.
• Familiarity with fiduciary duty, conflicts of interest, and books & records.

Responsibilities

• Assist with administration and oversight of the firm’s compliance program.
• Prepare, review, and coordinate SEC filings (Form ADV Parts 1 & 2, Form CRS).
• Assist with the preparation, maintenance, and testing of compliance policies and procedures.
• Support the Chief Compliance Officer with annual reviews, regulatory examinations, and ongoing monitoring.
• Monitor regulatory developments, SEC guidance, and changes in applicable rules and regulations.
• Maintain compliance records, documentation, books and records, and regulatory reporting calendars.
• Assist with employee compliance matters, including personal securities transactions and conflicts of interest.
• Conduct periodic compliance reviews and address potential compliance risks.
• Support the preparation and submission of other regulatory filings and reports.
• Assist with responding to SEC examination requests, internal audits, and regulatory inquiries.

Skills

SEC regulations knowledge

Regulatory filings

Bilingual English/Spanish

Attention to detail

Microsoft Office (Excel/Word)

Education

Bachelor's degree in Finance, Accounting, Business, or Legal Studies

Tools

Microsoft Office

Job description

Leeds Professional Resources seeks a detail-oriented Compliance Associate for a growing Registered Investment Adviser. You will support the SEC reporting, maintain the firm's compliance program, and assist the CCO with examinations and ongoing monitoring.

Fluency in English and Spanish, a degree in Finance/Accounting/Business, and hands-on experience with Form ADV and Form CRS are preferred. The role emphasizes meticulous records, timely regulatory submissions, and effective communication with