Compliance Associate

Reston, Virginia
Jan 31, 2018
Apr 01, 2018
Administrative, Other
Full Time


Compliance Associate

Reston, Virginia

We are a national investment advisory firm with offices in Virginia and California serving high net worth individuals, institutional clients, and corporate sponsored financial planning clients. We are looking for a full-time compliance associate to become part of a team in our compliance department.

Required: Bachelor’s degree and at least 2 years of registered investment advisor and/or broker dealer experience.

Work with the Chief Compliance Officer (CCO) and Compliance Officer to support firm-wide compliance programs and initiatives:

  • Manage contract administration for new and existing clients
  • Assist in annual AML review; ADV filings
  • Assist with compliance meetings and other educational programs
  • Manage annual ADV offering to clients
  • Manage filings of audited financials to regulators and states
  • Maintain spreadsheets on gifts; annual acknowledgements; insurance licensing
  • Assist with compliance review and approval of marketing materials
  • Assist with coordination of all regulatory examinations and compliance audits
  • Attend various compliance seminars and training sessions
  • Conduct reviews and forensic tests that support policies and procedures and to address risks and conflicts of interests
  • Under guidance from senior compliance personnel, interact with employees in order to ensure effective controls are in place to ensure compliance with applicable rules and regulations

Key Qualifications:

  • Ideal candidate will have two years of experience with compliance
  • Ability to maintain confidentiality
  • Strong organizational skills
  • Comfortable with Microsoft applications and data entry
  • Flexibility and camaraderie to work in a fast paced environment


Excellent benefits, including medical/dental insurance, 401(k) plan, competitive salary and a great work environment. Please send resume to


Must be a US citizen.

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