What are the responsibilities and job description for the Associate Compliance Specialist position at Advyzon?
We are seeking a highly motivated and detail-oriented Associate Compliance Specialist to support the day-to-day compliance operations of Advyzon Investment Management (AIM), a rapidly growing TAMP platform. This role reports directly to the COO/CCO and will play a key role in building and scaling the firm’s compliance infrastructure.
This position is ideal for someone early in their career who is eager to take on meaningful ownership, gain exposure to senior leadership, and grow quickly. The right candidate is intellectually curious, proactive, and interested in leveraging technology, including AI and automation, to improve efficiency and help build scalable compliance processes.
Responsibilities
This position is ideal for someone early in their career who is eager to take on meaningful ownership, gain exposure to senior leadership, and grow quickly. The right candidate is intellectually curious, proactive, and interested in leveraging technology, including AI and automation, to improve efficiency and help build scalable compliance processes.
Responsibilities
- Manage day-to-day compliance operations, including monitoring, tracking, and execution of key tasks.
- Maintain compliance data, records, and documentation to ensure accuracy and audit readiness.
- Support regulatory filings, reporting, and ongoing compliance obligations.
- Assist in developing and maintaining compliance policies, procedures, and internal controls.
- Own and enhance compliance reporting, dashboards, and data management processes.
- Support internal audits, compliance testing, and ongoing monitoring of regulatory requirements and changes impacting the firm.
- Collaborate with internal partners to streamline compliance review workflows and improve turnaround times.
- Work with product and technology teams on system enhancements, automation, and scalability.
- Identify and drive process improvements, including opportunities to leverage AI and automation.
- 1–3 years of experience in compliance, operations, or a related role within financial services (RIA, TAMP, wealth management, or asset management preferred).
- Strong attention to detail and ability to manage multiple workflows with accuracy and accountability.
- Interest in compliance as a long-term career path, with a desire to take on increasing responsibility over time.
- Strong analytical and problem-solving skills, with a process-oriented mindset.
- Ability to work independently and take ownership of responsibilities in a fast-paced, evolving environment.
- Comfort working cross-functionally with internal teams and external partners.
- Interest in technology, automation, and AI, with a desire to improve efficiency and build scalable processes.
- Excellent communication and organizational skills.
- Bachelor’s degree required.