Compliance Associate

Description & Requirements

The Compliance Associate works closely with the Chief Compliance Officer and Compliance Manager in researching, recommending and participating in projects primarily tied to the administration of Forvis Mazars Wealth Advisors' compliance program. The primary function of the Compliance Associate is to perform compliance monitoring, marketing review, data analysis, updating of written procedures and collection and retention of records. This position requires robust attention to detail, project management skills the ability to work well with members of various teams.

How you will contribute:

• The primary responsibilities of this role include, but are not limited to, the following:

• Support the execution of compliance-related programs, such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, administration of records retention policies, internal compliance audits, and implementation of new compliance guidelines and procedures;

• Participate and collaborate in the review and analysis of new regulatory developments;

• Contribute to the implementation of key processes designed to mitigate regulatory risk to comply with applicable SEC and DOL rules; promote and maintain industry best practices

• Collaborate with departmental leads/committees focused on the development and implementation of firm standard templates and procedures aimed at improving overall practice efficiency;

• Contribute to the continued implementation of compliance workflow and tracking software, including leading and developing training programs and communicating with the vendor on needed updates

• Maintain strict confidentiality of employee and client information;

• Assist in the maintenance of Form ADV and other regulatory reports and filings.

We are looking for people who have Forward Vision and:

• Utmost integrity and a high level of interpersonal skills to handle sensitive and confidential situations.

• Advanced organizational skills and ability to manage multiple projects simultaneously.

• Detail oriented with strong decision-making and analytical skills

• Ability to work effectively with teams and independently

• Experience defining problems, establishing facts and drawing valid conclusions

• Excellent verbal and written communication skills.

Minimum Qualifications:

• High School Diploma or equivalent required, Bachelors degree in a related field preferred

• At least 1-3 years of compliance and/or operations experience within a financial services / investment management company.

• Proficiency with Excel

Preferred Qualifications:

• Knowledge of Investment Advisor compliance requirements

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