AO/Compliance Associate
On-siteNashville, Tennessee, United States
Job Summary
Oversee the review of electronic communications and trading activity to ensure compliance with regulations and internal procedures. Investigate alerts for market abuse, insider trading, and conflicts of interest, then escalate potential concerns to management and stakeholders. Support the Legal Preclearance program by evaluating transaction requests against regulatory and fiduciary risks while managing recurring control processes and issue tracking. Assist with periodic reporting, audits, and process improvement initiatives to enhance surveillance workflows. This role requires strong judgment, careful documentation, and the ability to manage time-sensitive requests in a high-volume environment. Applicants must possess a Bachelor's degree and 2-5 years of experience in compliance or trade surveillance.
Required Qualifications
- Bachelor's degree
- Two to five years of experience in compliance, electronic communications surveillance, employee compliance, trade surveillance, financial services operations, audit, risk management, or a related control function
Desired Qualifications
- degree in business, finance, accounting, economics, legal studies, information systems, or a related field
- Working knowledge of compliance monitoring, electronic communications controls, employee compliance workflows, and escalation protocols
- Working knowledge of securities markets, trading practices, market conduct risks, and asset management operations
- Excellent attention to detail, organization, documentation discipline, and ability to manage time-sensitive requests in a high-volume environment
- Strong analytical skills, sound judgment, and the ability to evaluate facts, identify potential issues, apply review criteria, and recommend appropriate next steps
- Strong written and verbal communication skills, including the ability to explain compliance requirements clearly and professionally to reviewers, employees, and business stakeholders
- Demonstrated discretion and ability to handle confidential employee, client, business, and firm information appropriately
- Proficiency with Microsoft Office, particularly Excel, Word, Outlook, PowerPoint, and Copilot
- High ethical standards and a strong commitment to protecting client interests and supporting a culture of compliance
- Ability to work independently while collaborating effectively with global colleagues, Technology, Legal, and business partners
- Comfort operating in a fast-paced, deadline-driven environment with recurring control obligations and ad hoc escalation needs
- Interest in process improvement, automation, metrics, data analysis, and continuous enhancement of surveillance controls
- Professional maturity, curiosity, and willingness to ask questions, learn new systems and regulations, and take ownership of assigned work
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