Compliance Associate - Rockford, IL
About The Position
Our Compliance Associate role offers a unique opportunity to learn from experienced industry professionals while gaining hands-on exposure to regulatory oversight, compliance testing, audits, and firm-wide compliance initiatives. We're seeking a detail-oriented and motivated professional who thrives in a fast-paced environment and is eager to build a long-term career in financial services compliance! The Compliance Associate is responsible for assisting in the administration of the firm’s compliance program to meet regulatory requirements. The role is ideally suited for an individual who is eager to learn and thrives in a fast-paced environment.
Requirements
- Bachelor’s degree from an accredited college or university in finance, business administration or related field.
- One to three years of experience, preferably in an operations or compliance role in the financial services industry.
- All applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.
Nice To Haves
- Willing to pursue and obtain Investment Adviser Certified Compliance Professional (IACCP), Certified Regulatory and Compliance Professional (CRCP) or similar professional designation.
Responsibilities
- Assist in the day-to-day operation of the Compliance Program
- Perform testing and audits to support the surveillance of the firm's compliance policies
- Assist with personal securities monitoring
- Assist in the preparation of data needed for routine regulatory filings
- Assist with proxy voting administration
- Be a conduit for discovering or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
- Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
- Ensure proper reporting of violations or potential violations to the CCO
- Assist in any external examinations performed by regulators
- Assist in preparing data requested by auditors for surprise custody exam and annual CEFEX renewal
- Maintain team approach by assisting and filling in for others
Benefits
- Medical, dental, and vision coverage with multiple plan options
- Health Savings Account (HSA) or Flexible Spending Account (FSA)
- Company-paid life insurance, AD&D, and disability coverage
- 401(k) with company match (Roth and Traditional options)
- Team-based incentive opportunities and recognition program
- Generous paid time off, plus at least 10 paid holidays
- Annual “Savantiversary” day
- Summer Hours (shorter work weeks during the summer)
- Parental leave, personal leave, and other life-event support
- Employee Assistance Program (EAP)
- Wellness reimbursements (e.g., gym memberships)
- Flexible “Dress for Your Day” approach
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
