Associate Compliance Specialist

Advyzon

Job Location:

Lisle, IL - USA

Monthly Salary: Not Disclosed

Posted on: 22 days ago

Vacancies: 1 Vacancy

Job Summary

We are seeking a highly motivated and detail-oriented Associate Compliance Specialist to support the day-to-day compliance operations of Advyzon Investment Management (AIM) a rapidly growing TAMP platform. This role reports directly to the COO/CCO and will play a key role in building and scaling the firms compliance infrastructure.

This position is ideal for someone early in their career who is eager to take on meaningful ownership gain exposure to senior leadership and grow quickly. The right candidate is intellectually curious proactive and interested in leveraging technology including AI and automation to improve efficiency and help build scalable compliance processes.

Responsibilities

Manage day-to-day compliance operations including monitoring tracking and execution of key tasks.
Maintain compliance data records and documentation to ensure accuracy and audit readiness.
Support regulatory filings reporting and ongoing compliance obligations.
Assist in developing and maintaining compliance policies procedures and internal controls.
Own and enhance compliance reporting dashboards and data management processes.
Support internal audits compliance testing and ongoing monitoring of regulatory requirements and changes impacting the firm.
Collaborate with internal partners to streamline compliance review workflows and improve turnaround times.
Work with product and technology teams on system enhancements automation and scalability.
Identify and drive process improvements including opportunities to leverage AI and automation.

Skills/Qualifications

13 years of experience in compliance operations or a related role within financial services (RIA TAMP wealth management or asset management preferred).
Strong attention to detail and ability to manage multiple workflows with accuracy and accountability.
Interest in compliance as a long-term career path with a desire to take on increasing responsibility over time.
Strong analytical and problem-solving skills with a process-oriented mindset.
Ability to work independently and take ownership of responsibilities in a fast-paced evolving environment.
Comfort working cross-functionally with internal teams and external partners.
Interest in technology automation and AI with a desire to improve efficiency and build scalable processes.
Excellent communication and organizational skills.
Bachelors degree required.

Compensation:
$65k annually with a 30% bonus

Required Experience:

Manager

Manage day-to-day compliance operations including monitoring tracking and execution of key tasks.
Maintain compliance data records and documentation to ensure accuracy and audit readiness.
Support regulatory filings reporting and ongoing compliance obligations.
Assist in developing and maintaining compliance policies procedures and internal controls.
Own and enhance compliance reporting dashboards and data management processes.
Support internal audits compliance testing and ongoing monitoring of regulatory requirements and changes impacting the firm.
Collaborate with internal partners to streamline compliance review workflows and improve turnaround times.
Work with product and technology teams on system enhancements automation and scalability.
Identify and drive process improvements including opportunities to leverage AI and automation.

Skills/Qualifications

13 years of experience in compliance operations or a related role within financial services (RIA TAMP wealth management or asset management preferred).
Strong attention to detail and ability to manage multiple workflows with accuracy and accountability.
Interest in compliance as a long-term career path with a desire to take on increasing responsibility over time.
Strong analytical and problem-solving skills with a process-oriented mindset.
Ability to work independently and take ownership of responsibilities in a fast-paced evolving environment.
Comfort working cross-functionally with internal teams and external partners.
Interest in technology automation and AI with a desire to improve efficiency and build scalable processes.
Excellent communication and organizational skills.
Bachelors degree required.