Compliance Associate

Investment Compliance Analyst

📍 Tucson, AZ

Responsibilities:

• Review portfolio activity and prepare compliance reports to ensure alignment with internal policies and regulatory requirements
• Support the firm’s Code of Ethics, including monitoring personal trading, gifts and entertainment, and outside business activities
• Assist with regulatory filings and registrations (including FINRA‑related updates)
• Maintain and update compliance manuals, policies, and procedures
• Support broker reviews, clone variance analysis, and other monitoring activities
• Assist with filings and reporting obligations (e.g., 13‑F, proxy voting, class action tracking)
• Support annual compliance audits and internal reviews
• Assist with employee compliance training and respond to internal compliance inquiries
• Stay current on regulatory and industry developments
• Support special projects as assigned by Compliance leadership

Qualifications

• Bachelor’s degree in Accounting, Finance, Business, or a related field
• 1–2 years of experience in investments, compliance, or financial services (preferred)
• Strong attention to detail and documentation standards
• Working knowledge of securities rules and regulations (a plus)