Senior Associate Compliance

Cerity 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. The Senior Associate will assist the Chief Compliance Officer and team with oversight 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 all inclusive.

Primary 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.

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 able to solve complex 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 success 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 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 

Cerity Partners is committed to providing an environment where all 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 origin, 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 reach 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 all 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 origin, 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 reach out to [email protected]. Applicants must be authorized to work for any employer in the U.S.