Scottsdale, Arizona

A fast-growing Registered Investment Advisor is seeking a Compliance Associate to join their Scottsdale office. This is a high-visibility role that supports the firm’s compliance infrastructure, with a primary focus on marketing material review, general compliance oversight, and firm-wide operational compliance tasks. Reporting to the Chief Compliance Officer, this position will have direct exposure to leadership and cross-departmental stakeholders. This role is ideal for a driven and detail-oriented professional with 1–4 years of compliance experience at an RIA or broker/dealer. The right candidate is a strong communicator, organized, adaptable, and ready to grow within a collaborative and energetic team.

Compliance Associate Responsibilities:

• Review marketing materials for regulatory disclosures and compliance with SEC and FINRA standards
• Support firm-wide compliance operations, including policies, procedures, and documentation
• Assist with tracking compliance-related tasks and reporting requirements
• Maintain and update spreadsheets, tracking logs, and databases
• Manage and archive compliance documentation via internal systems
• Conduct employee verification processes using Global Relay and ASA tools
• Coordinate with other departments to ensure timely compliance across functions
• Assist in special projects and audits as needed
• Communicate regularly with the Chief Compliance Officer and broader team

Compliance Associate Requirements:

• 1–4 years of experience in compliance at a Registered Investment Advisor or broker/dealer
• Bachelor’s degree required
• Master’s in Finance preferred
• Strong Excel skills
• Exceptional attention to detail and organizational skills
• Excellent communication and interpersonal skills
• Ability to manage multiple tasks and deadlines in a fast-paced environment
• Must be comfortable working onsite full-time
• Familiarity with investment strategies or derivatives is a plus
• Experience with ASA Employee Verification, Global Relay, or similar systems is a plus
• Strong understanding of investment management compliance frameworks is preferred

Benefits:

• Competitive base salary
• Annual bonus
• Comprehensive medical benefits
• Dental & Vision insurance
• 401(k) with company match
• Generous PTO
• Free lifetime gym membership
• Life Insurance, STD, LTD
• Annual raises
• Fantastic growth path

If you’re a compliance professional seeking a role with growth potential, collaborative culture, and exposure across departments, apply now!

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