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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
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Amy Herrmann