Compliance Associate

7 days ago

Bethlehem, Pennsylvania, United States Atlas Search Full time $60,000 - $90,000 per year

We are a $9BN RIA, is seeking a proactive and detail-driven Investment Operations and Compliance Associate to join our dynamic, employee-owned firm. As part of a collaborative team that directly supports our institutional and high-net-worth clients, this individual will play a vital role in ensuring compliant, seamless execution across account administration, trading, client servicing, and operational workflows. There is potential for growth into senior compliance or operations roles.

The ideal candidate will thrive in a fast-paced environment, bring a strong sense of ownership to their work, and contribute meaningfully to a high-performing team that values precision, service excellence, and long-term client relationships.

Key Responsibilities

  • Perform supervisory compliance functions in accordance with the firm's written supervisory procedures and applicable FINRA/SEC rules.
  • Review and monitor operational processes for adherence to regulatory requirements and internal controls.
  • Liaise with the Chief Compliance Officer to ensure appropriate documentation, escalation, and resolution of identified risks or violations.
  • Assist in periodic audits, regulatory exams, and maintenance of compliance records.
  • Review and approve new account paperwork for institutional and HNW clients, including annuity accounts.
  • Ensure all documentation meets regulatory and internal compliance standards.
  • Assist in maintenance of client accounts within portfolio management systems.
  • Execute trades based on analyst recommendations or at the direction of advisors/clients.
  • Assist in routine client service requests including account access, distributions, and information delivery.
  • Calculate and process annual IRA distributions.
  • Communicate professionally and regularly with clients, custodians, vendors, and internal stakeholders.
  • Complete ad hoc projects and provide operational support as needed.

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