Compliance Specialist

Compliance Specialist Responsibilities Maintain regulatory records, documentation, and required filings Assist with employee onboarding/offboarding processes Assist with ongoing compliance surveillance, certifications, and employee attestations Execute routine compliance testing and monitoring to confirm adherence to internal policies Review and approve marketing and client-facing materials to ensure compliance with applicable regulations Assist with annual reviews, regulatory updates, and special projects Qualifications Bachelor's degree or equivalent experience Strong attention to detail and organizational skills Ability to manage multiple priorities in a regulated environment Strong written and verbal communication skills Comfort working independently and as part of a team

Preferred:

2+ years of experience in compliance, legal, or regulatory support within financial services Familiarity with investment advisory or wealth management environments Experience with compliance monitoring systems 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.