Senior Compliance Associate

Who We Are Looking For

We are seeking a collaborative and forward-thinking compliance professional who thrives in a dynamic, fast-paced environment. The ideal candidate has deep knowledge of SEC regulations and a proactive mindset toward risk identification and mitigation. This person is detail-oriented, values precision, and brings a solutions-driven approach to supporting a growing compliance program.

About the Role

As a Senior Compliance Associate, you’ll play a key role in the execution and enhancement of NorthRock’s compliance program. You will work closely with the Chief Compliance Officer on regulatory filings, internal testing, Code of Ethics administration, and compliance education. This role provides visibility across the firm, partnering with multiple teams to ensure adherence to regulations while contributing to scalable and sustainable compliance processes.

What You Will Do

• Prepare and support regulatory filings, including Forms ADV, 13F, 13H, N-PX, PF, U-4, and U-5
• Assist with SEC exams, mock audits, branch office reviews, and internal audits
• Monitor and update compliance calendar, risk dashboard, and tracking tools
• Lead the Code of Ethics program, including certifications, monitoring, and approvals
• Conduct testing and monitoring of compliance controls across fees, trading, and operations
• Support compliance education programs, including the annual compliance meeting
• Oversee investment adviser representative and insurance registrations and renewals
• Partner with internal teams to review marketing materials, client communications, and website content for SEC Marketing Rule alignment
• Support compliance onboarding for new employees, including training and tracking completion
• Contribute to continuous improvement efforts through process evaluation and automation opportunities

What You Bring

• Bachelor’s degree in finance, compliance, pre-law, or related field; or equivalent relevant experience
• Minimum of 5 years of experience, preferably within the financial services industry, registered investment adviser (RIA), or broker-dealer.
• Strong knowledge of the Investment Advisers Act and private fund compliance
• Experience with SEC reporting and marketing restrictions under the SEC Marketing Rule
• Relevant industry certifications CSCP®, IAACP, Series 65 preferred
• Excellent project management skills with the ability to manage multiple priorities
• Strong written and verbal communication skills
• Proficiency in Microsoft Office Suite and CRM systems (e.g., Salesforce)
• Emotional maturity, professional mindset, and discretion

Who You Are

• Detail-Oriented: You bring precision and accuracy to complex compliance work
• Collaborative: You thrive in cross-functional environments and support your teammates
• Solutions-Driven: You proactively identify risks and recommend scalable improvements

Additional Requirements

• Work Authorization: Must be authorized to work in the United States
• Background Check: Successful completion of a credit and criminal background check is required

Compensation & Benefits

The estimated base pay salary rate for this role is $75,857 - $113,785 per year. Base salaries are determined based on job-related knowledge, skills, experience, and geographical work location. In addition, depending on the role, many roles are eligible for variable pay such as bonuses, commissions, and/or long-term incentives. To energize and inspire, we offer comprehensive benefits, including a company-funded ESOP and strong retirement plans, tuition reimbursement, comprehensive healthcare/dental/vision coverage, and generous Paid Time Off (PTO).

Work Conditions

• Physical Requirements: This role requires occasional physical activity such as lifting, moving, and setting up computer equipment (monitors, docking stations, desktops, etc.). Ability to lift up to 25 pounds may be necessary.
• Repetitive Duties: The position involves extended periods of sitting and computer use, as well as repetitive tasks related to troubleshooting and data entry.
• On-Site Presence: While much of the work is performed from a desk or workstation, occasional movement throughout the office is required to provide in-person technical support and attend meetings.
• We are committed to providing reasonable accommodation for individuals with disabilities. If you require assistance or accommodation during the application or employment process, please contact the People Team at PeopleTeam@NorthRockPartners.com.
• NorthRock Partners is committed to creating a diverse environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law. We provide an inclusive and welcoming environment for all employees and applicants.

About NorthRock

At NorthRock Partners, we help exceptional people live exceptional lives. Our Personal Office® model brings together a dedicated team of advisors, tax professionals, estate attorneys, and investment experts to serve a client base that includes professional athletes, entrepreneurs, and multigenerational families.

What sets us apart? Our culture. At NorthRock, we lead with good energy, serve others first, and commit to excellence in everything we do. We’re a team of curious, optimistic professionals who are always growing, always improving, and always supporting one another. We believe in showing up with humility, precision, and a deep sense of responsibility, not just to our clients, but to each other. Whether it’s a spontaneous team happy hour, a front-row seat cheering on our athlete clients, or a moment of collaboration in one of our offices, NorthRock employees are rooted in purpose, driven by values, and fueled by connection.