Compliance Associate

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee compliance obligations for RIA.

• Assist in the development, testing, and supervision of controls for the investment advisory platform.

• Work collaboratively with business partners on compliance processes, policies, and regulatory standards.

• Contribute to risk assessments related to compliance and identify conflicts.

• Formulate, evaluate, and propose changes to policies and procedures.

• Lead periodic reviews of processes with content owners.

• Complete monthly 13H filings and quarterly 13F reports.

• Review GIPS reporting as performance metrics are released.

• Update and review sales literature on the website.

• Provide strategic guidance for compliance programs concerning ERISA and retirement products and services.

• Coordinate compliance activities for retirement services, resolving issues and implementing policies.

• Investigate changing regulatory rules and evaluate their impact on the firm and ERISA and retirement platforms.

• Identify and leverage technology solutions to fulfill compliance responsibilities.

• Organize ERISA regulatory training sessions.

• Stay informed about business regulations through continuous education and industry engagement.

• Advise stakeholders on necessary documents and information to meet compliance objectives.

• Offer compliance assistance for trading operations, proxy voting, fee billing, and the advisory platform within the Advisory Solutions Group.

• Identify opportunities for process efficiency and uphold standard operating procedures.

• Create reports detailing status and timelines.

• Utilize data analytics and AI tools to pinpoint trends, anomalies, and potential compliance risks.

• Support compliance data governance, regulatory reporting, testing, and examinations.

• Assess and implement AI and automation solutions for monitoring, testing, and documentation.

⛳️ Requirements

• Minimum of 2 years’ experience in financial services compliance or a related field.

• Familiarity with ERISA compliance programs.

• Understanding of fiduciary duties under ERISA 3(21) and 3(38).

• Knowledge of ERISA 408(b)(2) requirements.

• Excellent verbal and written communication abilities.

• Proficient in Microsoft Office Suite or similar software.

• Holds FINRA Series 7 & 66 licenses.

• Capable of working independently while prioritizing multiple projects and deadlines.

• Demonstrates a self-starting, proactive approach with initiative, ownership, and leadership qualities.

• Able to influence and engage with employees and leaders at all levels within WEG.

• Proven ability to utilize AI tools and technologies in everyday work tasks.

• Understanding of effective prompt crafting and evaluation of AI-generated content for accuracy and relevance.

• Ability to incorporate AI tools while upholding quality standards.

• Willingness to learn new AI applications and understand their use cases and limitations.

• Expected to continually learn and adapt to evolving AI tools and methodologies.

🏝️ Benefits

• Opportunities for training and professional development.

• Medical, dental, and vision insurance (available for full-time employees and their families).

• Health Savings Account (HSA) with employer contributions.

• Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses.

• Life and AD&D insurance – with both employer-paid and voluntary options available.

• Employer-paid short-term and long-term disability and workers' compensation.

• 401(k) plan with matching contributions and profit sharing.

• Wellness programs and resources available.

• Optional benefits, including pet insurance.

• 18 days of paid time off (PTO) accrued annually (increases to 25 PTO days after 4 years of service).

• 12 paid holidays each year (10 fixed and 2 floating days).

• Paid parental leave and paid caregiver leave (available after 6 months of employment).

• Reimbursement for tuition, licensing, and other credentials (available after fulfilling service requirements).