Compliance Associate

Position Reports to: Chief Compliance Officer (CCO)
Department: Compliance
Location: Carmel, IN
Exemption Status: E

Position Overview:

The Compliance Associate will assist the Chief Compliance Officer in executing the firm’s compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for helping maintain the firm’s policies and procedures, performing regular compliance reviews, supporting regulatory filings, and assisting with internal education and audits.

The ideal candidate is highly organized, deadline-driven, and has experience working in the compliance department of a financial services firm.

Duties and Responsibilities:

• Support the implementation, testing, and documentation of the firm’s compliance policies and procedures.
• Conduct regular surveillance and forensic testing (e.g., personal trading, email review, advertising/marketing review, code of ethics).
• Maintain compliance calendars and logs to track regulatory filings, attestations, training, and policy review deadlines.
• Monitor marketing materials, social media content, and client communications for regulatory compliance under the SEC Marketing Rule.
• Assist with onboarding/offboarding processes for employees and access persons, including compliance training.
• Support the due diligence process on vendors, custodians, and other third-party service providers.
• Respond to compliance-related questions from team members and help promote a culture of compliance.
• Participate in internal audits and regulatory exams, gathering documentation and preparing responses.
• Stay current with regulatory developments and industry best practices to identify areas of risk or improvement.

Desired Qualifications:

• Bachelor’s degree or higher from an accredited college or university
• 2–5 years of experience in financial services compliance, preferably with an RIA
• Working knowledge of the Investment Advisers Act of 1940
• Excellent organizational, communication, and analytical skills
• High attention to detail and strong ethical standards
• Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci