Governance, Risk, and Compliance Associate or Senior Associate - Asset Management Consulting

Governance, Risk, and Compliance Associate or Senior Associate - Asset Management Consulting

Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to the world of accounting, which includes creating a diverse, collaborative, and entrepreneurial workplace culture. Our leaders truly care about the well-being of all our employees and encourage them to pursue their ambitions.

While our business is based in numbers, our success is truly based on people. It's why we commit to supporting our people not just in their professional growth, but also in their ability to lead balanced, integrated lives. At the foundation of that commitment are our core values. Weaver's core values were created specifically to empower our people to deliver extraordinary service and be their best selves. Our goal is to balance high development with high performance in order to meet the long-term goals of each individual, team, and our firm.

Learn more about our services, industry experience and culture at weaver.com.

Weaver's Governance, Risk, and Compliance (GRC) practice is seeking a motivated and detail-oriented experienced Associate or Senior Associate to join our growing Asset Management Consulting (AMC) team. This role offers a unique opportunity to work with a dynamic group of professionals focused on delivering high-quality compliance and risk management solutions to clients in the asset management industry.

As a Governance, Risk, and Compliance Associate or Senior Associate, you will have proven SOX experience with large financial services, investment companies, and/or asset managers. This role will primarily focus on internal audit and SOX-related work and will be responsible for the day-to-day project management of 1-6 concurrent engagements. However, there will also be opportunities to work on asset management compliance-related projects, including compliance program implementation, ongoing monitoring activities, and regulatory filing support. You will help support the execution of project planning, execution of engagement objectives, audit procedures, compliance program implementation, ongoing monitoring activities, and regular communications with client personnel.

The ideal candidate is proactive, eager to learn, and demonstrates strong interpersonal and organizational skills. At Weaver, you'll benefit from a flexible work environment, diverse and meaningful client engagements, and a culture that values innovation and collaboration.

To be successful in this role, the following qualifications are required:

• Bachelor's degree in Accounting, Finance, Business, or a related field.
• 1+ years of experience in audit, consulting, or the investment management industry
• Strong analytical and problem-solving skills
• Familiarity with GAAP, GAAS, the COSO internal control framework, Internal Audit Standards, and the Sarbanes Oxley Act and the related requirements of Section 404
• SOX experience with large financial services, investment companies, and asset managers
• Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks
• Familiarity with the Investment Advisers Act of 1940
• Monitor regulatory updates and help adjust internal procedures as needed
• Prepare and maintain regulatory filings (e.g., Forms ADV)
• Interpret investment guidelines and conduct pre-trade and post-trade compliance monitoring
• Excellent research skills and attention to detail
• Ability to manage multiple projects and shifting priorities
• Strong communication and interpersonal skills
• Self-motivated with a commitment to continuous learning
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint)
• Flexibility to accommodate client or team meetings outside standard hours
• Ability to be on-site at clients, as requested

Additionally, the following qualifications are preferred:

• CPA, CPA candidate, CIA, CIA candidate, or a different relevant certification
• Master's degree in Business, Accounting, or a related field
• Experience with various asset classes, including fixed income, equities, and derivatives
• Advanced understanding of financial reporting, transaction cycles, and business processes
• Experience with compliance program development and maintenance
• Ability to mentor and help develop less experienced staff

Compensation and Benefits: At Weaver, our most valuable resources is our people. We take the time to evaluate our employees' wants and needs and invest our resources accordingly. A reasonable estimate of the compensation range for this position is $72,500 to $90,000. Actual compensation will be based on a variety of factors including but not limited to experience, skills, certifications, and geographical location. In addition to compensation packages, Weaver offers competitive health benefits, such as medical, dental, vision, disability, life insurance, and a 401(k) plan. Further, we support our employees by offering flexible scheduled time off (STO), minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days! Learn more here - Weaver benefits.

We also offer in-house CPE and learning opportunities through our internal Learning & Development department. Our multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth. Our goal is to balance both high development with high performance to meet the long-term goals of each individual, team, and our firm.

People are our formula! At Weaver, we recognize that everyone brings different strengths, backgrounds, and working styles to our team. We cultivate a safe and inclusive work environment that celebrates each individual's unique qualities through visibility, progression, advocacy, and support. We are proudly an equal opportunity employer.