Compliance Associate

Job Description

At Prosperity An EisnerAmper Company you will be responsible for shaping and executing the strategic vision of our Retirement Plan Services practice. This role combines deep technical expertise business development leadership and operational ownership to deliver a scalable high-quality retirement plan offering across the firm.

At Prosperity An EisnerAmper Company we are seeking a detail-oriented and highly motivated Compliance professional to join our growing this role you will play an important part in supporting the firms regulatory compliance program helping ensure adherence to applicable laws regulations and internal policies. You will work closely with internal teams to monitor compliance activities support regulatory examinations review account documentation and identify potential risks. This opportunity is ideal for someone who enjoys working in a collaborative environment has a strong understanding of financial services regulations and is eager to contribute to a culture of integrity accountability and regulatory excellence.

What it Means to Work for Prosperity:

• You will have the flexibility to manage your days in support of our commitment to work/life balance
• You will join a culture that has received multiple top Places to Work awards

• We believe that great work is accomplished when cultures ideas and experiences come together to create new solutions
• We understand that embracing our differences is what unites us as a team and strengthens our foundation
• Showing up authentically is how we both as professionals and a Firm find inspiration to do our best work

What Work You Will Be Responsible For:

• Support the day-to-day administration monitoring and maintenance of the firms regulatory compliance program.
• Assist with reviewing updating and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.
• Maintain and monitor the compliance calendar ensuring regulatory filings internal reviews and compliance obligations are completed accurately and on time.
• Review new account opening documentation to ensure completeness accuracy and adherence to regulatory and internal compliance requirements.
• Assist with regulatory examinations audits and information requests by gathering documentation organizing records and coordinating timely responses.
• Conduct due diligence reviews of vendors and third-party service providers including monitoring ongoing compliance requirements.
• Review marketing advertising and client-facing materials to ensure compliance with applicable regulations and firm policies.
• Support the administration of the firms Code of Ethics program including employee attestations personal trading reviews and related compliance monitoring.
• Stay informed of regulatory developments and industry trends helping communicate relevant updates and potential impacts to employees and management.
• Serve as a resource for employees regarding compliance-related questions escalating potential concerns or regulatory issues when appropriate.
• Collaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.
• Participate in special projects and other compliance initiatives as needed.
• Travel occasionally to firm offices and training events as required.

Basic Qualifications

• Bachelors degree in Finance Business Economics Accounting Legal Studies or a related field.
• 35 years of experience in compliance regulatory affairs audit operations or the financial services industry.

Preferred Qualifications

• Experience working within a Registered Investment Adviser (RIA) broker-dealer wealth management firm or similar financial services organization.
• Working knowledge of SEC FINRA and investment adviser regulatory requirements.
• Series 65 license preferred.
• Experience supporting regulatory examinations compliance monitoring or internal audits.
• Ability to exercise sound judgment maintain confidentiality and demonstrate a high level of integrity and professionalism.
• Strong interpersonal skills with the ability to collaborate effectively across departments and communicate with employees at all levels.
• Ability to adapt to changing regulatory requirements and thrive in a fast-paced evolving environment.
• Commitment to promoting a strong culture of compliance ethical conduct and continuous improvement.
• Proficiency in Microsoft Office applications including Excel Word and Outlook.
• Strong organizational skills with the ability to manage multiple priorities and meet deadlines.
• Excellent attention to detail analytical thinking and problem-solving abilities.
• Strong written and verbal communication skills.

About EisnerAmper

EisnerAmper is one of the largest accounting tax and business advisory firms employing approximately 450 partners and 4500 employees worldwide. We combine responsiveness with a long-range perspective to help clients address todays pressing issues and position them for future success.

Our clients range from sophisticated financial institutions and start-ups to global public firms and middle-market companies as well as high net worth individuals family offices not-for-profit organizations and entrepreneurial ventures across various industries. We also collaborate with attorneys financial professionals bankers and investors who serve these clients.

EisnerAmper is proud to be a merit-based employer. We do not discriminate based on veteran or disability or any protected characteristics under federal state or local law.

If you require any accommodations to complete your application please contact:

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