Strategic Compliance Associate

Cerity Partners Management LLC; Louisville (KY); On-site; USD 70,000 - 100,000; Full time

Benefits offered by this job

Health, dental, and vision insurance –

4% 401(k) match

Flexible PTO

Parental Leave

Education assistance

Community involvement

Commuter benefits

Job summary

Cerity Partners is seeking a Compliance Associate to support its compliance program across affiliated entities. The role focuses on the daily administration of core functions, including code of ethics oversight, regulatory filings, policy management, and exam readiness, while helping identify and mitigate risk.

The associate collaborates with investments, operations, legal, marketing, and finance to strengthen the compliance infrastructure.

Qualifications

• Strong analytical capabilities and regulatory understanding.
• Familiarity with Investment Advisers Act requirements.
• Ability to identify patterns or anomalies in data and escalate appropriately.

Responsibilities

• Support the day-to-day administration of the compliance program and monitor for violations.
• Assist with the review and administration of the Code of Ethics and related activities.
• Monitor electronic communications for compliance with firm policies and regulatory requirements.
• Support regulatory filings (e.g., Form ADV, Form PF, Form CRS, state notices).
• Draft, update, and maintain compliance policies and manuals across affiliated entities.
• Perform risk assessments and targeted testing of compliance controls.
• Assist with due diligence and screening of clients and vendors against restricted lists.
• Collaborate with data analytics and technology teams to automate monitoring and improve reporting.
• Conduct compliance reviews of new products and marketing materials for regulatory risk.
• Prepare for regulatory examinations and respond to inquiries; lead ad hoc initiatives as directed.

Skills

Analytical capabilities

Regulatory knowledge

Attention to detail

Ethical standards

Excellent communication

Proactive problem-solving

Cross-functional collaboration

Education

Bachelor's degree

Job description

Cerity Partners is seeking a Compliance Associate to support its compliance program across affiliated entities. The role focuses on the daily administration of core functions, including code of ethics oversight, regulatory filings, policy management, and exam readiness, while helping identify and mitigate risk.

The associate collaborates with investments, operations, legal, marketing, and finance to strengthen the compliance infrastructure.