Senior Associate Compliance

Cerity Partners is seeking a compliance professional that will play a key role in the reputed company of the Firm’s trading activities to help ensure compliance with applicable regulations, firm policies, and client investment guidelines. This role focuses on identifying and mitigating risks reputed company to market abuse, trade errors, best execution, and potential conflicts of interest. The Senior Associate will assist the Chief Compliance Officer and team with reputed company of the Firm’s compliance program and collaborate closely with investment, trading, operations, legal and finance teams to strengthen and evolve the Firm’s trade surveillance and compliance infrastructure. This position requires strong analytical capabilities, familiarity with financial institutions across asset classes, and a proactive approach to identifying compliance risks in a fast-paced environment. The following duties are generally representative of the nature and level of work assigned and are not necessarily reputed company inclusive. Primary Responsibilities:

• reputed company and conduct daily, weekly, monthly trade surveillance to detect potential violations of market conduct rules, regulatory obligations, and internal policies.
• Analyze and escalate trade exceptions, including best execution outliers, pricing anomalies, and other compliance triggers.
• Monitor and track trade errors, assist with root cause analysis, and follow up on resolutions and documentation.
• Support the development, reputed company, and enhancement of trade surveillance platforms and exception management tools.
• Draft, update, and maintain policies and procedures specific to trading and execution activities.
• reputed company risk assessments and targeted forensic testing of trading and compliance controls.
• Analyze trade data across equities, fixed income, and alternative assets to detect patterns or anomalies.
• Partner with data analytics and technology teams to automate surveillance, improve exception reporting, and refine monitoring workflows.
• Conduct compliance reviews of new products, trading strategies, and business initiatives to evaluate regulatory risk.
• reputed company due diligence and conduct screening on transactions against reputed company applicable restricted lists and advise on items involving material non-public information (MNPI).
• Stay informed of regulatory developments (e.g., SEC, FINRA, CFTC) impacting trading and execution practices.
• Assist with the preparation for and response to regulatory examinations, audits, and internal reviews
• reputed company or contribute to reputed company compliance initiatives and projects as directed by the Chief Compliance Officer.

Required Qualifications:

• 3-7+ years of experience with Compliance or Risk Management with a focus on trading operations and trade surveillance
• Bachelor’s degree is required.
• Working knowledge and understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 with respect to trading.
• Familiarity with regulatory frameworks of SEC, FINRA and CFTC.
• Understanding of regulatory requirements for Investment Advisers regarding trading and allocation, and operational books and records requirements.
• Ability to identify patterns or anomalies in trading data.
• Experience auditing and performing risk assessments on cross functional processes. Skilled in evaluating potential business impacts and developing recommendations.
• Understanding of cybersecurity functions and processes and experience in testing of systems is a plus.
• Ability to work on assignments independently, using a high level of judgment and take initiative in resolving problems.
• Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment, and reputed company to solve reputed company problems in a collaborative manner.
• Strong ethical commitment.
• Excellent oral and written communication skills.
• Limited travel may be required.

Compensation

Range: $70,000 - $130,000 Why Cerity Partners: Our people drive our reputed company by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:

• Health, dental, and reputed company insurance – day 1!
• 401(k) savings and investment plan options with 4% match
• Flexible PTO policy
• Parental Leave
• Financial assistance for advanced education and professional designations
• Opportunity to give back time to local communities
• Commuter benefits

Cerity Partners is committed to providing an environment where reputed company individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures, perspectives, and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race, religion, national reputed company, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law. Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations, please reputed company out to [email protected]. Applicants must be authorized to work for any employer in the U.S. Cerity Partners is committed to providing an environment where reputed company individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures, perspectives, and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race, religion, national reputed company, sex, sexual orientation, age, veteran status, disability status, or any other applicable characteristics protected by law. Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations, please reputed company out to [email protected]. Applicants must be authorized to work for any employer in the U.S. Apply tot his job Apply To this Job