Senior Compliance Analyst — Investment Advisory

Cerity Partners; Louisville (KY); Presencial; USD 85.000 - 125.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health/Dental/Vision insurance

401(k) match

Flexible PTO

Parental Leave

Education assistance

Descripción de la vacante

Cerity Partners is seeking a Compliance Associate to support the firm’s compliance program across affiliated entities. The role focuses on day-to-day administration, including ethics oversight, regulatory filings, policy administration, and examination readiness, while mitigating compliance and conflicts-of-interest risks.

The ideal candidate has 3–7+ years of compliance/risk management experience in financial services, with a strong understanding of SEC/FINRA rules and the Investment Advisers

Formación

• 3-7+ years of experience with Compliance or Risk Management in investment advisory or financial services.
• Bachelor’s degree is required.
• Familiarity with SEC/FINRA regulatory frameworks.
• Experience auditing and risk assessments across cross-functional processes.
• Understanding of compliance requirements for Investment Advisers and books/records.

Responsabilidades

• Support day-to-day administration of the compliance program and monitor for regulatory obligations.
• Assist with Code of Ethics review, including personal trading, gifts, and political contributions.
• Monitor electronic communications for policy/regulatory compliance.
• Prepare, file, and maintain regulatory filings (e.g., Form ADV, Form PF, Form CRS).
• Draft, update, and maintain compliance policies and manuals across entities.
• Perform risk assessments and targeted forensic testing of controls.
• Assist with due diligence and screening of clients, vendors, and transactions.
• Collaborate with data analytics/tech teams to automate monitoring and improve reports.
• Conduct reviews of new products/marketing materials for regulatory risk.
• Stay informed on SEC/FINRA developments impacting the program.
• Assist with regulatory examinations, audits, and internal reviews.
• Lead or contribute to ad hoc compliance initiatives.

Conocimientos

Regulatory compliance

Analytical thinking

Communication skills

Ethical judgment

Educación

Bachelor’s degree

Descripción del empleo

Cerity Partners is seeking a Compliance Associate to support the firm’s compliance program across affiliated entities. The role focuses on day-to-day administration, including ethics oversight, regulatory filings, policy administration, and examination readiness, while mitigating compliance and conflicts-of-interest risks.

The ideal candidate has 3–7+ years of compliance/risk management experience in financial services, with a strong understanding of SEC/FINRA rules and the Investment Advisers