Compliance & Operations Associate

Job Description

Who We Are:

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Located in the South Hills of Pittsburgh, TWIN Capital Management, Inc is an independent, boutique Investment Management firm offering a diverse set of actively managed U.S. equity strategies to institutions and high net-worth individuals. Founded in 1990, we are a client-centric firm and believe the success of our long-standing client partnerships is a result of our transparency, responsive client service, as well as the demonstrated track record of our investment strategies. We pride ourselves on fostering an inclusive work environment and enabling staff to create a mutually acceptable work-life balance.

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Overview:   

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We are seeking a detail-oriented, analytical, and proactive individual to join our team as a Compliance & Operations Associate. This position reports directly to the Chief Compliance Officer (CCO) and the President and will play a critical role in supporting, maintaining, and strengthening the firm's regulatory compliance infrastructure and risk management protocols. This role provides an excellent opportunity to gain deep exposure to investment advisory compliance within an SEC-registered investment adviser (RIA) environment, offering professional growth and the chance to collaborate closely with senior leadership.

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Key Responsibilities:

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·         Manage daily compliance functions for investment strategies and client portfolios.

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·         Conduct risk analysis and assist the CCO in identifying and mitigating potential regulatory issues.

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·         Review client portfolios to ensure continuous alignment with regulatory mandates, firm risk management policies, and client-specific restrictions .

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·         Provide comprehensive support during internal and external audits, including SEC examinations. Manage the overall relationship with our compliance consulting firm (currently ACA).

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·         Take a leading role in the creation, implementation, and testing of firm-wide compliance and HR policies and procedures. Assist with the creation and review of legal and operating agreements.

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·         Monitor employee personal trading, Code of Ethics documentation, and annual holdings disclosures.

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·         Compile and analyze compliance-related data to support executive decision-making and annual Form ADV filings. Review and approve all firm marketing materials.

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·         Collaborate closely with Portfolio Managers, traders, and operations to support a firm-wide culture of compliance.

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·         Develop new operational procedures and re-evaluate current frameworks to promote continuous compliance process improvement.

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·         Assist with ad-hoc operational compliance activities and specialized legal or regulatory projects.

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·         Coordinate with custodians, prime brokers, and third-party administrators on account maintenance, corporate actions, and cash movements.

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·         Backup to daily trade and settlement operations support, including trade confirmation, reconciliation of positions and cash with custodians, and resolutions of breaks. 

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·         Administrative duties including accounts payable and accounts receivable.

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Qualifications and Experience:

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·         Bachelor’s degree is required , preferably in Finance, Legal, Accounting, Business or related fields.

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·        1–3 years of professional experience in financial services compliance, preferably with a compliance consultant, Registered Investment Adviser (RIA), or audit firm .

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·         Professional certifications such as the Investment Adviser Certified Compliance Professional (IACCP) or equivalent are welcome and highly valued.

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·         Proficiency with Microsoft Office Suite— Excel, PowerPoint, and Word—is required.

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·         Familiarity with investment-oriented tools or compliance tracking modules (e.g., SS&C EZE, Compliance Alpha, and Bloomberg) is beneficial.

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·         Interest in leveraging technology and automation (including AI-based tools) to streamline compliance and operational processes is a plus.

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·         Authorization to work in the USA without restriction.

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·         Will be required to successfully pass a comprehensive background check prior to employment.

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Key Skills and Attributes:

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Desire to represent the Firm with the highest level of professionalism and ethical decision-making.

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Initiative, flexibility, and innovation in problem-solving and risk mitigation.

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Strong analytical skills, service-oriented mindset, excellent interpersonal communication, and deep attention to detail.

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Ability to work independently as well as collaboratively in a tight-knit team environment.

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Analytical mindset with a strong interest in financial markets, regulatory frameworks, and compliance law.

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Can thrive in a fast-paced environment with a wide range of evolving regulatory responsibilities.

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Why Join Us?

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Work closely with investment team members who are passionate about investing and servicing our clients.

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Gain comprehensive knowledge of the investment management business from a regulatory and operational perspective.

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Explore career growth opportunities within a collaborative and innovative financial environment.

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Support for relevant continuing education and compliance certifications.

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Featured Employee Benefits:

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Competitive annual salary based on experience and skills.

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Annual profit-sharing and bonus eligibility.

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Comprehensive health and wellness benefits.

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401(k) plan.

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Flexible paid time off.

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Additional Notes:

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TWIN Capital Management, Inc. is an equal opportunity and affirmative action employer. All qualified candidates will be considered for employment without regard to race, color, religion, gender, age, disability, sexual orientation, national origin, veteran status, or any other category protected by law.