Compliance Associate

Our client, located in the Cool Springs part of Franklin, TN is seeking a direct hire Compliance Associate to join their team. They are a growing SEC-Registered wealth management firm , and this position will support their Chief Compliance Officer in maintaining regulatory compliance while ensuring internal processes operate efficiently across the organization. Key Responsibilities Manage the marketing review and approval process to ensure compliance with SEC Marketing Rule requirements Perform compliance testing to confirm policies and procedures align with actual business practices Assist with personal trade monitoring, compliance attestations, and certifications within compliance monitoring systems Support onboarding and offboarding processes for investment adviser representatives Conduct regulatory research and assist with drafting internal guidance and training materials Maintain required books and records in accordance with SEC regulations Monitor regulatory developments and industry best practices to help identify and mitigate compliance risks Contribute to annual compliance reviews and Form ADV updates Support the Chief Compliance Officer with ongoing compliance projects and ad hoc initiatives Required Qualifications Bachelor's degree or an equivalent combination of education and relevant professional experience Microsoft Office Suite (Excel, Word, Outlook) Familiarity with compliance monitoring software such as Compliance Alpha, SmartRIA, or similar platforms preferred Exposure to wealth management systems such as Dynasty, Fidelity, Black Diamond, Wealthscape, or Charles Schwab is a plus

Title:

Compliance Associate Location:

Cool Springs / Franklin, TN - on-site schedule

M-F Pay:

$75k-$85k based on experience Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual's skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs. With that said, as required by local law in geographies that require salary range disclosure, Vaco/Highspring notes the salary range for the role is noted in this job posting. The individual may also be eligible for discretionary bonuses, and can participate in medical, dental, and vision benefits as well as the company's 401(k) retirement plan.

Additional disclaimer:

Unless otherwise noted in the job description, the position Vaco/Highspring is filing for is occupied. Please note, however, that Vaco/Highspring is regularly asked to provide talent to other organizations. By submitting to this position, you are agreeing to be included in our talent pool for future hiring for similarly qualified positions. Submissions to this position are subject to the use of AI to perform preliminary candidate screenings, focused on ensuring minimum job requirements noted in the position are satisfied. Further assessment of candidates beyond this initial phase within Vaco/Highspring will be otherwise assessed by recruiters and hiring managers. Vaco/Highspring does not have knowledge of the tools used by its clients in making final hiring decisions and cannot opine on their use of AI products.