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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