Compliance Specialist

A growing registered investment advisory and wealth management firm is seeking a Compliance Specialist to support its compliance program, regulatory obligations, and internal control framework. This role will work closely with senior compliance leadership and cross-functional teams to help maintain regulatory compliance, support audits and reviews, manage documentation, and contribute to ongoing process improvements. The ideal candidate is detail-oriented, organized, and interested in building a long-term career within compliance and financial services. Key Responsibilities Compliance Program Support Assist in maintaining compliance policies, procedures, and internal controls. Support ongoing monitoring and testing activities to ensure adherence to regulatory requirements and firm policies. Identify, document, and elevate compliance concerns or process gaps when appropriate. Assist with annual compliance reviews and implementation of program enhancements. Regulatory Reporting & Audits Support the preparation and submission of regulatory filings and required reports. Assist with regulatory examinations and audits by gathering documentation and organizing supporting materials. Maintain accurate compliance records and documentation in accordance with retention requirements. Documentation & Recordkeeping Ensure client and compliance-related records are properly maintained and archived. Prepare reports and materials for internal compliance reviews and oversight meetings. Monitor documentation processes to ensure consistency with firm standards and regulatory expectations. Cross-Functional Collaboration Partner with operations, advisory, and administrative teams to support compliance initiatives. Provide guidance on compliance procedures and documentation requirements. Assist with employee compliance training and educational initiatives. Contribute to process improvements that strengthen controls, efficiency, and operational effectiveness. Qualifications Required Bachelor's degree required. 2+ years of experience in compliance, operations, financial services, or a related field. Understanding of compliance principles, regulatory requirements, and recordkeeping standards within financial services. Strong organizational skills with exceptional attention to detail. Ability to manage multiple priorities and meet deadlines in a fast-paced environment. Proficiency with Microsoft Office, including Excel, Word, and Outlook. Strong written and verbal communication skills. High level of professionalism, discretion, and integrity. #J-18808-Ljbffr Engtal