Advyzon

Unified wealth management platform

Associate Compliance Specialist

Regulatory Compliance & EthicsConfirmed live in the last 24 hours

Full-timeLisle, IL, USA

About the Job

Requirements

1–3 years of experience in compliance, operations, or a related role within financial services.
Strong attention to detail and the ability to manage multiple workflows accurately and accountably.
Interest in compliance as a long-term career path and willingness to take on increasing responsibility.
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 artificial intelligence, with a desire to improve efficiency and build scalable processes.
Bachelor’s degree required.

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 artificial intelligence and automation.

Desired Qualifications

Experience in financial services, preferably in a registered investment adviser, turnkey asset management platform, wealth management, or asset management setting.

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

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.

Skills/Qualifications

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.

Compensation:
$65k annually with a 30% bonus
This is a hybrid position at our Lisle location

About the Company

Advyzon

Unified wealth management platform

Advyzon provides a cloud-based, all-in-one technology platform for wealth management, combining portfolio management, a model marketplace, client reporting, billing, rebalancing, CRM, document storage, and a client portal, plus investment management services. It works on a single code base and offers integrated modules in a centralized interface, so data moves between tools with minimal manual entry and advisers can manage portfolios, reports, billing, and client data from one system. It differentiates itself by being an end-to-end platform built from the ground up for wealth management, reducing data handoffs and repetitive tasks compared with pieced-together tools. Its goal is to streamline and unify the technology stack for wealth managers, helping advisers run their practices more efficiently, scale their businesses, and deliver consistent, transparent service to clients.

Company size: 51-200
Company stage: Not listed
Total funding: Not listed
Headquarters: Chicago, IL
Founded: 2012

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