Compliance Associate

Company: Savant Wealth Management
Location: Rockford
Posted on: March 16, 2023

Job Description:

Are you passionate about doing the right thing? Are you keen on following process and procedure? In this unique role, you will get a chance to do just that, as you integrate with each location, learn the full workings of our organization, and help keep us aligned to reduce risk for our firm, as our Compliance Associate.

Description and Requirements for our Compliance Associate

We are looking for an experienced, industry professional with a friendly demeanor, to help ensure all activities of our firm meet industry regulatory requirements. Our firm integrity is vital, so as a member of the Compliance Team, you will utilize your passion for research, analytical thinking skills, and high attention to detail, as the internal liaison for maintaining compliance across all levels and departments.

A couple things to note about our Compliance Associate:

This is a full-time position, with a minimum expected hour amount of 40 hours per week.
You will work the general hours of Monday-Friday, 8:00AM - 5:00PM.
This role has the flexibility to be fully in person out of one of our office locations or work a hybrid schedule once trained. Ideally you're close to our Rockford IL or Chicagoland, Madison, WI, Iowa City IA, or Atlanta GA offices.

The Compliance Associate can expect to focus in the following areas:

You will assist in maintaining our firm's integrity by executing the day-to-day operation of our Compliance Program.
You will routinely perform testing and audits to support the surveillance of the firm's compliance policies.
Because we are in a federally regulated industry, you will assist us in data preparation as needed for routine regulatory filings, assist in external examinations performed by regulators, and assist with any surprise custody exams and CEFEX renewal.
You will be a conduit for the discovery of or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
With rigor, you will monitor and coordinate compliance activities for all our departments to remain abreast of the status of all compliance activities and to help identify trends.
To eliminate risk for our firm, you will report violations or potential violations to the CCO.

The Compliance Associate position typically requires the following qualifications:

Here are a few of our must-have's:

You will possess a bachelor's degree. Please note, we are open to considering an associate degree in conjunction with proven success in a similar role and financial services industry for the right individual. It would be a bonus if you have worked with a registered investment advisor.
You will be a team player, be collaborative, possess the ability to work with and through others, and be a team approach by assisting and filling in for others as needed.
You will have strong written and verbal communications while maintaining a high level of professionalism throughout all levels of the firm.
You will be proficient with Microsoft Office Suite, specifically Excel and Word, and have the ability to learn and implement new software with ease.
You will be meticulously detail oriented and be eager to problem solve through analytical thinking.
You will understand the importance of working effectively with confidential information.

Here are a few skills that will be helpful in your success:

You will possess a friendly, client first attitude.
You will be a mentor and train new staff on compliance procedures as well as provide mentorship and be a role model for other team members.
You will assist in in the development and implementation of best practices and continuous improvements for the compliance department.

Why Join Us?

We are a growing firm, with opportunities for future growth and advancement in your role.
We offer health, vision, dental, and 401K benefit options for you and your family.
We believe in collaboration, innovation, excellence doing what's right, and helping our team to provide a world class service
Our culture is steeped in Savant's Midwestern roots as described through our corporate values of excellence, integrity, lifelong learning, respect, growth, and servant leadership. We are dedicated to living these values through our relationships with clients, each other, and the greater community. Our core values truly define the Savant way.

Let us help you on your path to your ideal career - apply today!

Collective Wisdom. We're Better Together.

At Savant Wealth Management, we are driven by a purpose to serve our clients with skill, passion, and integrity. Inspired by collaboration, our team craves innovation, commitment to excellence and above all, doing what is right. We are up for any challenge. Since 1986 we have focused on committing to helping clients achieve peace of mind through our collective insight and wisdom.

If you want to be part of a culture that is defined through strong values - Savant is right for you.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required of the incumbent in this position.

Any combination of equivalent education and work experience will be considered.

Savant Capital, LLC is an Equal Opportunity Employer%17894531% %%uncategorized%%

Keywords: Savant Wealth Management, Rockford , Compliance Associate, Other , Rockford, Illinois