EisnerAmper US | Compliance Associate

Responsibilities

• At Prosperity – An EisnerAmper Company, we are seeking a detail-oriented and highly motivated Compliance professional to join our growing team.
• This opportunity is ideal for someone who enjoys working in a collaborative environment, has a strong understanding of financial services regulations, and is eager to contribute to a culture of integrity, accountability, and regulatory excellence.
• We understand that embracing our differences is what unites us as a team and strengthens our foundation  
• In this role, you will play an important part in supporting the firm's regulatory compliance program, helping ensure adherence to applicable laws, regulations, and internal policies.
• You will work closely with internal teams to monitor compliance activities, support regulatory examinations, review account documentation, and identify potential risks.
• You will have the flexibility to manage your days in support of our commitment to work/life balance.
• You will join a culture that has received multiple top “Places to Work” awards.
• Support the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
• Assist with reviewing, updating, and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.
• Maintain and monitor the compliance calendar, ensuring regulatory filings, internal reviews, and compliance obligations are completed accurately and on time.
• Review new account opening documentation to ensure completeness, accuracy, and adherence to regulatory and internal compliance requirements.
• Assist with regulatory examinations, audits, and information requests by gathering documentation, organizing records, and coordinating timely responses.
• Conduct due diligence reviews of vendors and third-party service providers, including monitoring ongoing compliance requirements.
• Review marketing, advertising, and client-facing materials to ensure compliance with applicable regulations and firm policies.
• Support the administration of the firm's Code of Ethics program, including employee attestations, personal trading reviews, and related compliance monitoring.
• Serve as a resource for employees regarding compliance-related questions, escalating potential concerns or regulatory issues when appropriate.
• Collaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.
• Participate in special projects and other compliance initiatives as needed.
• Showing up authentically is how we, both as professionals and a Firm, find inspiration to do our best work 

Requirements

• 3–5 years of experience in compliance experience in the wealth management industry, preferably with an RIA or broker-dealer.
• Working knowledge of SEC, FINRA, and investment adviser regulatory requirements.
• Experience supporting regulatory examinations, compliance monitoring, or internal audits.
• Ability to exercise sound judgment, maintain confidentiality, and demonstrate a high level of integrity and professionalism.
• Strong interpersonal skills with the ability to collaborate effectively across departments and communicate with employees at all levels.
• Ability to adapt to changing regulatory requirements and thrive in a fast-paced, evolving environment.
• Proficiency in Microsoft Office applications, including Excel, Word, and Outlook.
• Strong organizational skills with the ability to manage multiple priorities and meet deadlines.
• Excellent attention to detail, analytical thinking, and problem-solving abilities.
• Strong written and verbal communication skills.

EisnerAmper US

EisnerAmper US is an employer hiring in India (sector: Audit / Consulting / Advisory). In its own words: "EisnerAmper provides assurance, tax, advisory, and outsourcing solutions tailored to businesses and high-net-worth individuals across industries."

Its finance, accounts, audit and tax openings in India are mostly in New York, Iselin, Chicago and Philadelphia.

• Industry: Audit / Consulting / Advisory