Compliance Specialist

Employer: Clearwater Capital Partners ( Industry: Financial Services Type: Full Time Experience: 2-5 Years Compensation: Base with bonus opportunity Location: Hoffman Estates, IL Company Overview Clearwater Capital Partners is an independent, SEC-registered wealth management firm dedicated to helping individuals, families, business owners, and institutions achieve their financial goals with confidence. Guided by a fiduciary standard and a commitment to exceptional service, we combine thoughtful advice, disciplined planning, and collaborative expertise to help clients navigate an increasingly complex financial world. Position Summary The Compliance Specialist at Clearwater Capital Partners supports the firm’s compliance program by helping maintain regulatory requirements, internal controls, and accurate recordkeeping. The role works closely with the Chief Compliance Officer and other internal teams to support compliance reviews, reporting, audits, training, and process improvements. Position responsibilities include, but are not limited to, the following: Duties and Responsibilities Support the firm’s compliance program by helping maintain policies, procedures, and internal controls in accordance with applicable regulatory requirements. Conduct and document internal compliance reviews and testing to identify potential issues, gaps, or areas for improvement. Monitor adherence to firm policies and procedures and escalate concerns or potential violations to the Chief Compliance Officer or Compliance Manager as appropriate. Assist with the preparation, review, and submission of regulatory filings and reports in coordination with the Chief Compliance Officer. Support annual compliance program reviews, updates, and implementation efforts. Assist with periodic regulatory audits and examinations, including gathering requested documentation and organizing supporting materials. Maintain accurate compliance records and ensure client documentation is archived electronically in accordance with retention requirements. Prepare reports and materials for periodic compliance reviews and internal oversight. Help ensure client communications, operational activities, and documentation processes remain aligned with firm policies and regulatory standards. Provide compliance guidance and support to internal teams as needed to promote consistent adherence to procedures. Stay current on regulatory updates, industry best practices, and relevant technological changes that affect compliance processes. Assist with compliance training efforts, including preparing materials and supporting periodic employee training meetings. Partner with other departments, including operations, portfolio management, and advisory teams, to support seamless implementation of compliance processes. Contribute to process improvements that strengthen compliance controls, efficiency, and documentation standards. Requirements Bachelor’s degree. At least 2 years of experience in compliance, operations, financial services, or a related role (prior experience at an RIA firm a plus). Knowledge of investment adviser compliance concepts, regulatory expectations, and recordkeeping requirements. Strong organizational skills with attention to detail and the ability to manage multiple priorities. Ability to review, document, and track compliance items accurately and consistently. Proficiency with Microsoft Office Suite, especially Excel, Word, and Outlook. Strong written and verbal communication skills. Ability to work collaboratively across departments while handling confidential information with discretion. High level of professionalism, integrity, and judgment. Ability to identify process gaps and contribute to compliance improvements. We Offer Competitive compensation package with bonus opportunities. Comprehensive benefits package including medical, dental, life insurance, and long/short term disability 401(k) plan with company match. Equity ownership opportunities. Paid vacation, holidays, personal, and sick leave. Education funding benefits. Aura cybersecurity membership EQUAL EMPLOYMENT AND HARASSMENT POLICY CCP is proud to provide equal opportunity in employment to all associates and applicants for employment. No person is or will be discriminated against because of perceived race, color, ancestry, gender, sexual orientation, gender identity, results of genetic testing, religion, age, national origin, disability, veteran or marital status, or any other legally protected group status. Equal employment opportunity applies to all terms and conditions of employment, including hiring, placement, promotion, termination, layoff, recall, transfer, leave of absence, compensation, and training. #J-18808-Ljbffr Clearwater Capital Partners