Governance, Risk, and Compliance Associate or Senior Associate - Asset Management Consulting
About The Position
Weaver’s Governance, Risk, and Compliance (GRC) practice is seeking a motivated and detail-oriented experienced Associate or Senior 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 or Senior Associate, you will have proven SOX experience with large financial services, investment companies, and/or asset managers. This role will primarily focus on internal audit and SOX-related work and will be responsible for the day-to-day project management of 1-6 concurrent engagements. However, there will also be opportunities to work on asset management compliance-related projects, including compliance program implementation, ongoing monitoring activities, and regulatory filing support. You will help support the execution of project planning, execution of engagement objectives, audit procedures, compliance program implementation, ongoing monitoring activities, and regular communications with client personnel. 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 Accounting, Finance, Business, or a related field.
- 1+ years of experience in audit, consulting, or the investment management industry.
- Strong analytical and problem-solving skills.
- Familiarity with GAAP, GAAS, the COSO internal control framework, Internal Audit Standards, and the Sarbanes Oxley Act and the related requirements of Section 404.
- SOX experience with large financial services, investment companies, and asset managers.
- Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks.
- Familiarity with the Investment Advisers Act of 1940.
- 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.
- Ability to be on-site at clients, as requested.
Nice To Haves
- CPA, CPA candidate, CIA, CIA candidate, or a different relevant certification.
- Master’s degree in Business, Accounting, or a related field.
- Experience with various asset classes, including fixed income, equities, and derivatives.
- Advanced understanding of financial reporting, transaction cycles, and business processes.
- Experience with compliance program development and maintenance.
- Ability to mentor and help develop less experienced staff.
Responsibilities
- Day-to-day project management of 1-6 concurrent engagements.
- Support the execution of project planning and engagement objectives.
- Perform audit procedures.
- Assist with compliance program implementation.
- Conduct ongoing monitoring activities.
- Communicate regularly with client personnel.
- Monitor regulatory updates and help adjust internal procedures as needed.
- Prepare and maintain regulatory filings (e.g., Forms ADV).
- Interpret investment guidelines and conduct pre-trade and post-trade compliance monitoring.
Benefits
- Competitive health benefits, such as medical, dental, vision, disability, life insurance.
- 401(k) plan.
- Flexible scheduled time off (STO).
- Minimum of 56 hours of sick and safe leave.
- 11 holidays.
- 2 scheduled recharge days.
- In-house CPE and learning opportunities through our internal Learning & Development department.
- Technical improvement training.
- Practice development training.
- Management/leadership training.
- Whole-life growth training.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
