Job Summary

To Apply for this Job Click Here

Compliance Associate – Denver, CO

Step into a high-impact role with a investment organization as a Compliance Associate. This position offers the opportunity to contribute meaningfully within a well-established Legal & Compliance team, supporting regulatory initiatives and strengthening internal controls This is an excellent opportunity for a proactive compliance professional to make an impact in a high-performing environment alongside industry leaders.

Compliance Associate Benefits & Compensation:

Competitive base salary commensurate with experience
Comprehensive medical, dental, and vision insurance
401(k) program and generous paid time off
Collaborative culture with ongoing opportunities for professional growth

Compliance Associate Requirements & Qualifications:

Bachelor’s degree required; business, finance, accounting, legal studies, or analytics backgrounds are particularly applicable
3–5 years of relevant compliance experience within an SEC-registered investment adviser, private funds platform, regulatory body, or consulting environment
Strong understanding of the regulatory framework governing investment advisers
Experience supporting Code of Ethics oversight, including personal trading reviews, outside business activity monitoring, and related employee compliance matters
Working familiarity with AML/KYC standards and ongoing monitoring responsibilities
Ability to review and interpret fund documentation, including partnership agreements
Clear, confident communicator with strong writing skills and a professional presence
Advanced proficiency in Microsoft Office tools, especially Excel, Word, and PowerPoint

Compliance Associate Preferred Background & Skills:

Exposure to marketing compliance considerations under current SEC marketing regulations
Practical understanding of identifying and mitigating conflicts across funds and investor relationships
Experience working within compliance technology platforms (ComplySci or similar systems is advantageous)
Demonstrated ability to analyze regulatory issues and contribute to policy enhancements
Self-directed professional with strong ownership mentality and a proactive approach to problem-solving

JOB ID: 171682

#post

Amy Herrmann

To Apply for this Job Click Here

Share This Job

Additional Information

At Goodwin Recruiting, our clients seek qualified candidates, and that is what we deliver. A person’s age, gender, race, color, marital or family status, national origin, disability, religion, veteran status, sexual orientation, gender identity has no bearing on whether they are able to do the job. We evaluate the knowledge, skills, and abilities that meet the requirements of the position and aim to open doors and change lives. We work hard to identify a broad slate of candidates for each of our clients, with many hiring success stories to share.

Kalyn joined Goodwin Recruiting with over a decade of experience in operations, leadership, and hospitality management. She’s known for her values-driven approach, strong team-building skills, and commitment to excellence. Kalyn’s experience across industries - ranging from medical and construction to hospitality and finance - has made her highly effective in full-cycle recruiting.