Compliance Professional

Compliance Associate – Denver, CO

Step into a high-impact role with a investment organization as a Compliance Associate. This position offers the opportunity to contribute meaningfully within a well-established Legal & Compliance team, supporting regulatory initiatives and strengthening internal controls This is an excellent opportunity for a proactive compliance professional to make an impact in a high-performing environment alongside industry leaders.

Compliance Associate Benefits & Compensation:

• Competitive base salary commensurate with experience
• Comprehensive medical, dental, and vision insurance
• 401(k) program and generous paid time off
• Collaborative culture with ongoing opportunities for professional growth

Compliance Associate Requirements & Qualifications:

• Bachelor’s degree required; business, finance, accounting, legal studies, or analytics backgrounds are particularly applicable
• 3–5 years of relevant compliance experience within an SEC-registered investment adviser, private funds platform, regulatory body, or consulting environment
• Strong understanding of the regulatory framework governing investment advisers
• Experience supporting Code of Ethics oversight, including personal trading reviews, outside business activity monitoring, and related employee compliance matters
• Working familiarity with AML/KYC standards and ongoing monitoring responsibilities
• Ability to review and interpret fund documentation, including partnership agreements
• Clear, confident communicator with strong writing skills and a professional presence
• Advanced proficiency in Microsoft Office tools, especially Excel, Word, and Power Point

Compliance Associate Preferred Background & Skills:

• Exposure to marketing compliance considerations under current SEC marketing regulations
• Practical understanding of identifying and mitigating conflicts across funds and investor relationships
• Experience working within compliance technology platforms (Comply Sci or similar systems is advantageous)
• Demonstrated ability to analyze regulatory issues and contribute to policy enhancements
• Self-directed professional with strong ownership mentality and a proactive approach to problem-solving