Cerity Partners · 4 hours ago
Senior Associate Compliance
Alpharetta Office
Full-time
Hybrid
Mid, Senior Level
$70K/yr - $130K/yr
3+ years expCerity Partners is seeking a compliance professional that will play a key role in the oversight 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 related to market abuse, trade errors, best execution, and potential conflicts of interest, while collaborating closely with various teams to strengthen the Firm’s trade surveillance and compliance infrastructure.
BankingFinanceFinancial Services
No H1B
Responsibilities
Develop 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, onboarding, and enhancement of trade surveillance platforms and exception management tools
Draft, update, and maintain policies and procedures specific to trading and execution activities
Perform 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
Perform due diligence and conduct screening on transactions against all 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
Lead or contribute to ad hoc compliance initiatives and projects as directed by the Chief Compliance Officer
Qualification
Required
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 able to solve complex problems in a collaborative manner
Strong ethical commitment
Excellent oral and written communication skills
Limited travel may be required
Benefits
Health, dental, and vision 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
Company
Cerity Partners
Cerity Partners is a financial services company specializes in banking,finance and personal loan.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Audax Private Debt
2022-07-29Debt Financing
2022-07-13Acquired
2021-02-21Debt Financing
Leadership Team
Kurt Miscinski
President & CEO
Carol Benz
Partner & Chief People Officer
Recent News
2026-01-22
2026-01-16
Private Banker International
2026-01-11
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