Posted 07/10/2025
Job Number: 13346

Compliance Associate

Scottsdale, Arizona Onsite

Industry: Financial Services

Job Category: Wealth Management

Job Type: Direct Hire

Salary: $60,000 - $85,000/Annually

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Job Description

Onsite

A fast-growing registered investment advisory firm in Scottsdale is seeking a detail-oriented Compliance Associate to join its dynamic and energetic team. This is an exciting opportunity to step into a high-visibility role supporting firmwide compliance operations with a focus on marketing review and regulatory processes. Ideal for someone with 1–4 years of compliance experience at an RIA or broker/dealer, this role offers hands-on mentorship, room for growth into a senior-level title, and exposure across the organization. Candidates who enjoy working independently, thrive in fast-paced environments, and value collaboration will excel here. This firm offers competitive compensation, structured annual reviews, and standout perks like a free Lifetime Fitness membership and fully paid employee medical coverage.

Compliance Associate Responsibilities:

  • Review and approve marketing materials to ensure required disclosures are accurate and compliant
  • Support ongoing compliance tasks including tracking, auditing, and firm documentation
  • Collaborate with multiple departments to uphold compliance standards across operations
  • Maintain organized systems to manage a high volume of marketing content efficiently
  • Utilize Excel to create and manage compliance-related spreadsheets and formulas
  • Assist with 40 Act reviews and compliance obligations tied to investment products
  • Communicate proactively with leadership to clarify and complete assigned tasks

Compliance Associate Requirements:

  • 1–4 years of experience in a compliance role at an RIA or broker/dealer
  • Bachelor’s degree required
  • Proficient in Excel, including use of formulas
  • Strong attention to detail and organizational skills
  • Excellent communication skills and comfort interacting across teams
  • Able to work independently and adapt quickly in a fast-paced environment
  • Must be willing to relinquish any active securities licenses if applicable

Benefits:

  • Health insurance with fully paid employee coverage
  • 401(k) with company match
  • PTO plus paid holidays
  • Free Lifetime Fitness gym membership
  • Opportunities for career development and growth

Step into a growing investment firm, hiring a Compliance Associate to lead key compliance efforts in a fast-paced environment!

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Job ID: a0CUm00002oOpy1MAC

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