Job Description

Associate Director, Compliance (Monitoring & Testing)

Associate Director, Compliance (Monitoring & Testing)

2 weeks ago Be among the first 25 applicants

Cresset is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized—integrated, intentional, and aligned with each client’s vision of success.

We provide access to the caliber of talent, ideas, and investment opportunities typically available to the largest single-family offices and institutions. Our approach is personalized, entrepreneurial, and client-first.

Proudly owned by our clients and employees, Cresset was built to endure. We are creating a 100+ year firm—one focused on delivering an exceptional experience, not only for the families we serve but for the team that serves them. Recognized by Barron’s and Forbes among the nation’s top RIA firms, and as one of the industry’s best places to work,* Cresset is guided by long-term relationships, shared success, and a belief that wealth should serve a life well lived.

Job Description

The Associate Director, Compliance, will support ongoing compliance efforts, focusing primarily on compliance monitoring and testing. Additionally, this role involves conducting branch exams, employee training, and performing other general compliance duties to meet regulatory requirements. This is a great opportunity for a person with experience at an RIA, broker-dealer, securities regulator, or other related financial institution. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.

Key Responsibilities

• Conduct compliance testing and branch exams to ensure adherence to firm policies, the Investment Advisers Act of 1940, SEC guidelines, and industry regulations.
• Monitor supervised/access persons activities, trading activities and transactions to identify potential compliance issues and anomalies.
• Create and maintain dashboards and reports to track compliance metrics.
• Assist in the automation of data collection and reporting processes to improve efficiency and accuracy.
• Present compliance monitoring and testing observations to senior management, ensuring that key insights and recommendations are effectively communicated to support strategic decision-making.
• Collaborate with compliance officers to develop data-driven insights and recommendations.
• Assist in developing, implementing, and maintaining compliance training for the firm.
• Be an integral part of the compliance team, assisting with various aspects of compliance programs, including risk assessments, policy and procedure development, Annual Review, regulatory filings, and the ADV.
• Perform or assist with special projects.

Qualifications

• College graduate
• Proficiency in SEC regulations, including the Advisors Act.
• 5+ years’ experience in financial services or with a regulatory organization
• Experience with a registered investment advisor or broker-dealer in a compliance role.
• Experience using Charles River or other OMS for compliance monitoring and reporting a plus.
• Experience with data visualization tools (e.g., Tableau, Power BI) preferred.
• Excellent analytical, problem-solving, and communication skills.
• Strong written, verbal and listening skills
• Exceptional organization and planning skills with ability to multi-task
• Attention to detail and follow-through
• Versatile, flexible, and a willingness to work with changing priorities
• Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook)

What We Offer

At Cresset, we focus on people first. As a service business, our people are our assets. Engaging our clients and employees is our highest priority. Starting base salary range: $95,000 - $120,000. Salary will be based on factors including, but not limited to, experience, licenses/certifications, industry knowledge, and geographic location. Cresset offers a competitive compensation package including an annual incentive and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs. Aligning employee and organizational interests, all employees receive equity in Cresset.

It is the policy of Cresset to ensure equal employment opportunity (EEO) for all employees and applicants for employment without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, or related conditions), national origin or ancestry, age, disability, veteran status, uniformed servicemember status, sexual orientation, gender identity, status as a parent, genetic information (including testing and characteristics), or any other characteristic protected by applicable federal, state, or local law. It is Cresset’s policy to comply with applicable laws concerning the employment of persons with disabilities, including reasonable accommodation for applicants and employees with disabilities.

*Disclosures related to awards, recognitions, and rankings available here.

Cresset refers to Cresset Capital Management, Peakline Parent, LLC, and all of their respective subsidiaries and affiliates. Cresset Asset Management, LLC, also conducting advisory business under the names of Cresset Sports & Entertainment and CH Investment Partners, provides investment advisory, family office, and other services to individuals, families, and institutional clients. Peakline Partners, LLC, provides investment advisory services strictly to investment vehicles investing in private equity, real estate, and other investment opportunities. Cresset Asset Management, LLC, and Peakline Partners, LLC, are SEC registered investment advisors.

Seniority level

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  Full-time

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