Associate Compliance Specialist

Advyzon • Lisle, IL

4d • Hybrid

About The Position

Advyzon Investment Management (AIM), a rapidly growing TAMP platform, is seeking a highly motivated and detail-oriented Associate Compliance Specialist to support day-to-day compliance operations and help build and scale the firm’s compliance infrastructure. The role reports directly to the COO/CCO.

This position is suited to someone early in their career who is eager to take ownership, gain exposure to senior leadership, and grow. The successful candidate will be intellectually curious and proactive, with an interest in using technology, including AI and automation, to improve efficiency and develop scalable compliance processes.

Requirements

• 1–3 years of experience in compliance, operations, or a related role within financial services.
• Strong attention to detail and ability to manage multiple workflows with accuracy and accountability.
• Interest in compliance as a long-term career path and desire to take on increasing responsibility over time.
• Strong analytical and problem-solving skills, with a process-oriented mindset.
• Ability to work independently and take ownership of responsibilities in a fast-paced, evolving environment.
• Comfort working cross-functionally with internal teams and external partners.
• Interest in technology, automation, and AI, with a desire to improve efficiency and build scalable processes.
• Excellent communication and organizational skills.
• Bachelor’s degree required.

Nice To Haves

• Experience within an RIA, TAMP, wealth management, or asset management firm is preferred.

Responsibilities

• Manage day-to-day compliance operations, including monitoring, tracking, and execution of key tasks.
• Maintain compliance data, records, and documentation for accuracy and audit readiness.
• Support regulatory filings, reporting, and ongoing compliance obligations.
• Assist in developing and maintaining compliance policies, procedures, and internal controls.
• Own and enhance compliance reporting, dashboards, and data management processes.
• Support internal audits, compliance testing, and ongoing monitoring of regulatory requirements and changes impacting the firm.
• Collaborate with internal partners to streamline compliance review workflows and improve turnaround times.
• Work with product and technology teams on system enhancements, automation, and scalability.
• Identify and drive process improvements, including opportunities to leverage AI and automation.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level