Senior Compliance Associate

About You

• Regulatory Expert: You bring strong working knowledge of the Investment Advisers Act of 1940 and SEC-registered adviser compliance requirements, including private fund regulations.
• Detail-Oriented & Proactive: You thrive in complex regulatory environments and anticipate risks before they become issues.
• Collaborative Professional: You communicate effectively across teams and bring a solutions-oriented mindset to a growing organization.

The Role

We’re looking for a strategic and forward-thinking compliance professional to join our Compliance team. In this role, you’ll help execute and enhance NorthRock’s core compliance program, ensuring regulatory obligations are met while supporting scalable growth. The ideal candidate thrives in a fast-paced, evolving environment and is known for strong project management and sound regulatory judgment.

What You’ll Do

• Prepare and support regulatory filings, including Forms ADV, 13F, 13H, N-PX, PF, U-4, and U-5
• Assist with SEC examinations, mock audits, branch reviews, and internal audits, including documentation and response tracking
• Maintain the compliance calendar, risk dashboard, and tracking tools
• Participate in Risk Management Committee meetings, including agenda preparation and minute distribution
• Evaluate regulatory developments and contribute to policies and internal process enhancements
• Support compliance integration for acquisitions, new business initiatives, and firm growth projects
• Lead the Code of Ethics program, including certifications, personal trading reviews, gifts and entertainment, outside business activities, and pre-clearance monitoring
• Conduct compliance testing and monitoring of fees, trading activity, and operational controls
• Assist in developing and delivering compliance education programs, including the annual compliance meeting
• Oversee investment adviser representative (IAR) and corporate registrations, renewals, and continuing education requirements
• Coordinate compliance onboarding for new employees and serve as a point of contact for compliance-related inquiries
• Support private fund compliance oversight, including fund documents, marketing materials, disclosures, and audit deliverables
• Review client communications, advertising, social media, and website content in alignment with the SEC Marketing Rule
• Collaborate with internal teams to maintain and update policies, procedures, and compliance manuals

What You Bring

• Bachelor’s degree in finance, compliance, pre-law, or related field (or equivalent experience)
• Minimum of 3 years of compliance experience within a registered investment adviser, broker-dealer, or financial services firm
• Strong knowledge of the Investment Advisers Act and private fund compliance requirements
• Relevant certifications such as CSCP®, IACCP, or Series 65 preferred
• Excellent project management, communication, and stakeholder engagement skills
• Proficiency with Microsoft Office Suite and CRM platforms (e.g., Salesforce)
• Emotional maturity, discretion, and a high level of professionalism
• Must be authorized to work in the United States
• Successful completion of a credit and criminal background check is required

Compensation & Benefits

The estimated base salary range for this role is $74,000 – $102,000 per year. Base salaries are determined based on job-related knowledge, skills, experience, and geographical work location. Many roles are also eligible for variable pay such as bonuses, commissions, and/or long-term incentives.

Benefits Include a company-funded ESOP, strong retirement plans, tuition reimbursement, comprehensive healthcare/dental/vision coverage, and generous Paid Time Off (PTO).

About NorthRock Partners

At NorthRock Partners, we help people reach their potential through impactful advice. Our Personal Office® model integrates financial and lifestyle guidance tailored to each client’s unique goals.

We’re proud to be an equal opportunity employer and are committed to providing reasonable accommodation during the application process. Contact PeopleTeam@NorthRockPartners.com for assistance.