Regulatory Compliance Specialist
2 weeks ago
Position Title: Compliance Associate (Investment Advisory & ERISA)
Location: Remote
Position Overview:
We are looking for a meticulous Compliance Associate to assist our investment advisory division in maintaining adherence to regulatory standards, particularly those outlined by ERISA. The successful candidate will possess a robust background in the investment advisory sector, demonstrating a comprehensive understanding of ERISA regulations and the capacity to tackle intricate compliance issues.
Core Responsibilities:
- Oversee and ensure adherence to ERISA regulations and other relevant legal frameworks.
- Perform routine evaluations of investment advisory operations to pinpoint and alleviate compliance vulnerabilities.
- Contribute to the formulation and execution of compliance policies and protocols.
- Assist with internal audits and regulatory assessments.
- Remain informed about regulatory updates and offer strategic guidance to the advisory team.
Required Qualifications:
- Proven experience in compliance within the investment advisory domain.
- In-depth knowledge of ERISA and associated regulations.
- Exceptional analytical and communication abilities.
- Capability to operate independently as well as collaboratively within cross-functional teams.
- Compliance certification (e.g., CRCM, CCEP) is advantageous.
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