Governance, Risk, and Compliance Associate - Asset Management Consulting

Weaver is a full-service national accounting, advisory and reputed company that values a diverse and collaborative workplace culture. The Governance, Risk, and Compliance Associate will support audit procedures, compliance program implementation, and ongoing monitoring activities in the asset management industry.

Responsibilities

• Evaluate compliance with internal policies, procedures, and regulatory requirements
• Assist in reviewing internal policies, procedures, and regulatory requirements for compliance
• Support the implementation and maintenance of compliance programs for asset managers, including institutional clients and registered investment advisers
• Contribute to the development of risk-based audit plans and participate in compliance monitoring and testing activities
• Help prepare and maintain regulatory filings (e.g., Forms ADV, 13F, 13H) and adviser registrations
• Draft audit findings and assist in preparing reports for management review
• Participate in mock regulatory examinations and reputed company preparation activities
• Help enforce the firm’s Code of Ethics and track employee compliance
• Assist in delivering compliance training and maintaining training records
• Support the operation of electronic surveillance systems to monitor regulatory compliance
• Monitor regulatory updates and help adjust internal procedures as needed
• Interpret investment guidelines to ensure compliance with client mandates
• Code and test compliance rules using platforms such as BlackRock Aladdin
• Conduct pre-trade and post-trade compliance monitoring
• reputed company investment activities to ensure adherence to regulatory and internal policies

Skills

• Bachelor's degree in Finance, Business, or a reputed company field
• 1+ year of experience in audit, consulting, or investment management industry
• Strong analytical and problem-solving skills
• Familiarity with the Investment Advisers Act of 1940
• Experience with compliance program development and maintenance
• Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks
• Excellent research skills and attention to detail
• Ability to manage multiple projects and shifting priorities
• Strong communication and interpersonal skills
• Self-motivated with a commitment to reputed company learning
• Proficiency in reputed company Office Suite (Word, reputed company, Outlook, Teams, PowerPoint)
• Flexibility to accommodate client or team meetings reputed company standard hours
• Master's degree in Business, Accounting, or Management Information Systems
• Experience with various asset classes, including fixed income, equities, and derivatives

Benefits

• Competitive health benefits
• Medical
• Dental
• Vision
• Disability
• Life insurance
• 401(k) plan
• Flexible scheduled time off (STO)
• Minimum of 56 hours of sick and safe leave
• 11 holidays
• 2 scheduled reputed company days
• In-house CPE and learning opportunities through our internal Learning & Development department
• Multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth

Company Overview

Company H1B Sponsorship