Compliance Associate

Position Overview

Our SEC-registered investment adviser (RIA) is seeking a Compliance Associate to support the firm’s day-to-day compliance operations. This role requires a detail-oriented professional with experience in investment adviser compliance, regulatory filings, and SEC examinations. The ideal candidate will have a strong understanding of the Investment Advisers Act of 1940 and familiarity with custodians, policies and procedures, and compliance monitoring processes. This is an excellent opportunity for a compliance professional looking to deepen their regulatory expertise and support a growing firm’s compliance infrastructure.

Key Responsibilities

Compliance Program Administration

• Assist in maintaining and updating the firm’s compliance policies and procedures in accordance with SEC regulations.
• Support the implementation and ongoing monitoring of the firm’s compliance program.
• Conduct periodic compliance testing and surveillance activities.
• Monitor adherence to the firm’s Code of Ethics, including personal trading reviews, electronic communication review, and marketing review.

Regulatory Filings & Documentation

• Prepare and file regulatory items such as Form U4, Form U5 and Form ADV Part 2B, as applicable.
• Assist in maintaining accurate books and records to ensure compliance with SEC recordkeeping requirements.
• Support document production and responses for SEC examinations, audits, and regulatory inquiries.

Custodian & Operations Compliance

• Maintain familiarity with custodian policies and procedures to ensure compliance with client account requirements.
• Assist in monitoring trade execution, best execution reviews, and custody-related compliance matters.

Training & Compliance Support

• Assist in compliance training programs for employees and investment personnel.
• Address compliance inquiries from employees, provide guidance on firm policies and regulatory requirements.
• Provide general support to the Chief Compliance Officer & General Counsel

Qualifications

• Bachelor's degree in finance, law, business, or a related field.
• 2 years of compliance experience in an SEC-registered investment adviser or related financial services firm.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory framework.
• Experience with regulatory filings (Form ADV, Form PF, Form CRS, Form U4 and U5) and SEC document production.
• Familiarity with custodians and compliance monitoring tools.
• Excellent analytical, organizational, and communication skills.

Preferred Qualifications

• Experience with document production for SEC exams or regulatory audits.
• Knowledge of compliance technology platforms used in the RIA space.
• Industry certifications such as IACCP, CRCP or a securities license (Series 7, 24, or 65) are a plus.

Your Well-Being Matters

In addition to being part of a purpose-driven culture, joining Avior comes with a comprehensive benefits package designed to support your overall well-being:

• 401k and 401k Matching: Plan for your future with our retirement savings options.
• Dental Insurance: Maintain your oral health with coverage for a range of dental services.
• Vision Insurance: Ensure clear sight on your path to success with our vision coverage.
• Health Insurance: Take care of your physical well-being with our health insurance offerings.
• Health Savings Account (HSA): Manage healthcare costs and save for the future with our HSA option.
• Life Insurance: Provide financial security for your loved ones with our life insurance benefits.
• Disability Insurance: Safeguard your financial future in the face of the unexpected.
• Employee Assistance Program (EAP): Access resources and support for personal and professional challenges.
• Flexible Paid Time Off: We recognize the importance of work-life balance, and our flexible PTO policy reflects our commitment to your overall happiness.

Work Environment

• Full-time
• In-office with working from home flexibility one preset day per week/will consider fully remote
• Monday – Friday 8:00 am – 4:30 pm