Compliance Associate

Overview

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.

• 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

• 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

Note:

The salary range and benefits information are notes from the job posting. This role may 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 information:
Submissions to this position are subject to the use of AI to perform preliminary candidate screenings. Vaco/Highspring may pool talent for future roles. Further assessment will be conducted by recruiters and hiring managers. This description reflects information current at the time of posting and is not a guarantee of employment.