Compliance Associate

Job Details

Job Location

Rockford IL Headquarters - Rockford, IL

Position Type

Full Time

Job Shift

Day

Description

The Compliance Associate is responsible for supporting the firm's compliance program and ensuring that all activities of the firm meet regulatory requirements.

Collective Wisdom. We're Better Together. For more than 30 years, Savant Wealth Management has worked to provide wise counsel to individuals, families, and businesses. A fee-only, independent RIA firm, we offer investment management, financial planning, retirement planning, and family office services to financially established individuals and institutions. We also offer corporate accounting, tax preparation, payroll, and consulting. We are driven by a purpose to serve our clients with skill, passion, and integrity. Inspired by collaboration, our team craves innovation, commitment to excellence and above all, doing what is right. We are up for any challenge. If you want to be part of a culture that is defined by strong values - Savant is right for you.

The Compliance Associate can expect to focus in the following areas:

• Assist in the day-to-day operation of the Compliance Program
• Perform testing and audits to support the surveillance of the firm’s compliance policies
• Assist in the preparation of data need for routine regulatory filings
• Be a conduit for discovering or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
• Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
• Ensure proper reporting of violations or potential violations to the CCO
• Assist in any external examinations performed by regulators
• Assist in preparing data requested by auditors for surprise custody exam and annual CEFEX renewal
• Maintain team approach by assisting and filling in for others
  
  

A Couple Things To Note About Compliance Associate Position

• This role is located in our Rockford, IL headquarters and will be eligible for Savant's hybrid work environment, which will be discussed during the interview process.
• This is a full-time and benefit eligible role, with typical work hours of Monday through Friday, 8:00am - 5:00pm
  
  

Qualifications

The following qualifications are preferred for the Compliance Associate position:

• Bachelor’s degree in finance, business administration or related field from an accredited college or university
• 1-3 years of financial services industry experience, preferably in a compliance-related role with a registered investment adviser
• Solid strategic thinker and problem solver
• Strong research and auditing skills
• Able to work effectively with confidential information
• Outstanding attention to detail
• Networking and relationship building skills
• Effective written and verbal communication skills—internal and external
• Strong MS Word, & Excel skills
• Team player with ability to interact effectively with all levels of firm, as well as internal and external clients
  
  

Why Join Us?

• We are a growing, fee-only, independent, majority employee-owned RIA.
• We believe in collaboration, innovation, excellence, doing what’s right, and helping our team to provide world class service.
• We help our clients reach their ideal futures.
• Our culture is described through our corporate values of excellence, integrity, lifelong learning, respect, growth, and servant leadership. These core values truly define the “Savant Way.” We are dedicated to living these values through our relationships with clients, each other, and the communities in which we serve.
  
  

The Perks

At Savant, we are committed to supporting our employees' well-being and growth. We offer a comprehensive range of benefits designed to enhance both your personal and professional life. Below is a list of our offerings. The specific benefits available for this role can be discussed in detail during the hiring process.

• Comprehensive Benefits Package on Day One: Enjoy immediate access to a robust benefits package starting on your first day of employment.
• Choice of Medical Plans: Select from two medical plans tailored to fit your needs.
• Health & Wellness Accounts: Opt for a Health Savings Account (HSA) or Flexible Spending Account (FSA) to manage your healthcare expenses.
• Flexible Dental Coverage: Choose between two dental plan options for optimal oral health.
• Vision Insurance: Keep your eyes healthy with our vision insurance plan.
• Company-Paid Life & AD&D Insurance: Feel secure with fully covered basic life insurance and accidental death & dismemberment benefits.
• Company-Paid Disability Coverage: Rest easy knowing you’re covered with both short-term and long-term disability plans.
• 401(k) with Company Match: Invest in your future with both Roth and Traditional 401(k) plans, featuring a per pay period company match.
• Generous Paid Time Off: Benefit from PTO that increases with your years of service, at least 11 paid holidays each year, a paid day each year for your Savantiversary, and enjoy shorter work weeks with our Summer Fridays.
• Employee Recognition: Be celebrated with monetary awards through our recognition program.
• Team Incentive Plans: Participate in our team incentive plan for additional earning opportunities.
• Employee Assistance Program: Access support through our Employee Assistance Program whenever you need it.
• Exclusive Discounts: Take advantage of various discount programs for additional savings.
• Wellness Reimbursements: Get reimbursed for gym memberships and other wellness programs to stay fit and healthy.
• Additional Perks: Get reimbursed for your warehouse club memberships and receive an allowance for Savant Swag.
  
  

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required of the incumbent in this position. Any combination of equivalent education and work experience will be considered.

Savant Capital LLC, is an Equal Opportunity Employer.

We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.

All applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.