Compliance Associate

EisnerAmper•Minneapolis, MN

9d•Hybrid

About The Position

At Prosperity – An EisnerAmper Company, we are seeking a detail-oriented and highly motivated Compliance professional to join our growing team. In this role, you will play an important part in supporting the firm's regulatory compliance program, helping ensure adherence to applicable laws, regulations, and internal policies. You will work closely with internal teams to monitor compliance activities, support regulatory examinations, review account documentation, and identify potential risks. This opportunity is ideal for someone who enjoys working in a collaborative environment, has a strong understanding of financial services regulations, and is eager to contribute to a culture of integrity, accountability, and regulatory excellence.

Requirements

Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field.
3–5 years of experience in compliance, regulatory affairs, audit, operations, or the financial services industry.

Nice To Haves

Experience working within a Registered Investment Adviser (RIA), broker-dealer, wealth management firm, or similar financial services organization.
Working knowledge of SEC, FINRA, and investment adviser regulatory requirements.
Series 65 license preferred.
Experience supporting regulatory examinations, compliance monitoring, or internal audits.
Ability to exercise sound judgment, maintain confidentiality, and demonstrate a high level of integrity and professionalism.
Strong interpersonal skills with the ability to collaborate effectively across departments and communicate with employees at all levels.
Ability to adapt to changing regulatory requirements and thrive in a fast-paced, evolving environment.
Commitment to promoting a strong culture of compliance, ethical conduct, and continuous improvement.
Proficiency in Microsoft Office applications, including Excel, Word, and Outlook.
Strong organizational skills with the ability to manage multiple priorities and meet deadlines.
Excellent attention to detail, analytical thinking, and problem-solving abilities.
Strong written and verbal communication skills.

Responsibilities

Support the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
Assist with reviewing, updating, and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.
Maintain and monitor the compliance calendar, ensuring regulatory filings, internal reviews, and compliance obligations are completed accurately and on time.
Review new account opening documentation to ensure completeness, accuracy, and adherence to regulatory and internal compliance requirements.
Assist with regulatory examinations, audits, and information requests by gathering documentation, organizing records, and coordinating timely responses.
Conduct due diligence reviews of vendors and third-party service providers, including monitoring ongoing compliance requirements.
Review marketing, advertising, and client-facing materials to ensure compliance with applicable regulations and firm policies.
Support the administration of the firm's Code of Ethics program, including employee attestations, personal trading reviews, and related compliance monitoring.
Stay informed of regulatory developments and industry trends, helping communicate relevant updates and potential impacts to employees and management.
Serve as a resource for employees regarding compliance-related questions, escalating potential concerns or regulatory issues when appropriate.
Collaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.
Participate in special projects and other compliance initiatives as needed.
Travel occasionally to firm offices and training events as required.