Governance, Risk, and Compliance Associate - Asset Management Consulting

Weaver Careers • Houston, TX

15d • $72,500 - $82,000

About The Position

Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to the world of accounting, which includes creating a diverse, collaborative, and entrepreneurial workplace culture. Our leaders truly care about the well-being of all our employees and encourage them to pursue their ambitions. While our business is based in numbers, our success is truly based on people. It’s why we commit to supporting our people not just in their professional growth, but also in their ability to lead balanced, integrated lives. At the foundation of that commitment are our core values . Weaver’s core values were created specifically to empower our people to deliver extraordinary service and be their best selves. Our goal is to balance high development with high performance in order to meet the long-term goals of each individual, team, and our firm. Learn more about our services, industry experience and culture at weaver.com . Position Profile Weaver’s Governance, Risk, and Compliance (GRC) practice is seeking a motivated and detail-oriented Associate to join our growing Asset Management Consulting (AMC) team. This role offers a unique opportunity to work with a dynamic group of professionals focused on delivering high-quality compliance and risk management solutions to clients in the asset management industry. As a Governance, Risk, and Compliance Associate, you will support the execution of audit procedures, compliance program implementation, and ongoing monitoring activities. You will contribute to the achievement of engagement objectives and take ownership of smaller projects under the guidance of experienced team members. Responsibilities include preparing client deliverables, conducting research, and staying current with regulatory developments. The ideal candidate is proactive, eager to learn, and demonstrates strong interpersonal and organizational skills. At Weaver, you’ll benefit from a flexible work environment, diverse and meaningful client engagements, and a culture that values innovation and collaboration.

Requirements

• Bachelor’s degree in Finance, Business, or a related field.
• 1+ year of experience in audit, consulting, or investment management industry
• Strong analytical and problem-solving skills.
• Familiarity with the Investment Advisers Act of 1940.
• Experience with compliance program development and maintenance.
• Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks.
• Excellent research skills and attention to detail.
• Ability to manage multiple projects and shifting priorities.
• Strong communication and interpersonal skills.
• Self-motivated with a commitment to continuous learning.
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint).
• Flexibility to accommodate client or team meetings outside standard hours.

Nice To Haves

• Master’s degree in Business, Accounting, or Management Information Systems.
• Experience with various asset classes, including fixed income, equities, and derivatives.

Responsibilities

• Evaluate compliance with internal policies, procedures, and regulatory requirements
• Assist in reviewing internal policies, procedures, and regulatory requirements for compliance.
• Support the implementation and maintenance of compliance programs for asset managers, including institutional clients and registered investment advisers.
• Contribute to the development of risk-based audit plans and participate in compliance monitoring and testing activities.
• Help prepare and maintain regulatory filings (e.g., Forms ADV, 13F, 13H) and adviser registrations.
• Draft audit findings and assist in preparing reports for management review.
• Participate in mock regulatory examinations and related preparation activities.
• Help enforce the firm’s Code of Ethics and track employee compliance.
• Assist in delivering compliance training and maintaining training records.
• Support the operation of electronic surveillance systems to monitor regulatory compliance.
• Monitor regulatory updates and help adjust internal procedures as needed.
• Interpret investment guidelines to ensure compliance with client mandates.
• Code and test compliance rules using platforms such as BlackRock Aladdin.
• Conduct pre-trade and post-trade compliance monitoring.
• Oversee investment activities to ensure adherence to regulatory and internal policies.

Benefits

• Weaver offers competitive health benefits, such as medical, dental, vision, disability, life insurance, and a 401(k) plan.
• Further, we support our employees by offering flexible scheduled time off (STO), minimum of 56 hours of sick and safe leave, 11 holidays, and 2 scheduled recharge days!
• We also offer in-house CPE and learning opportunities through our internal Learning & Development department.
• Our multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth.

What This Job Offers

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