[{"id":14632,"date":"2026-09-23T20:39:53","date_gmt":"2026-09-23T20:39:53","guid":{"rendered":"https:\/\/www.oliverjames.com\/jobs\/compliance-associate\/"},"modified":"2026-09-23T20:40:00","modified_gmt":"2026-09-23T20:40:00","slug":"compliance-associate-14632","status":"publish","type":"job","link":"https:\/\/www.oliverjames.com\/en\/jobs\/compliance-associate-14632\/","title":{"rendered":"Compliance Associate"},"content":{"rendered":"<p><div>A growing investment management firm is seeking a Compliance Associate to join its Legal &amp; Compliance team. This role will support compliance across a growing platform that includes registered investment funds, wealth management, and other investment products.<\/p>\n<p> The position is ideal for someone with a foundational understanding of registered funds and &#8217;40 Act compliance who is looking to continue developing within a collaborative, growing team.<\/p>\n<h3>Responsibilities<\/h3>\n<ul>\n<li>Review daily portfolio compliance reports and investigate potential issues<\/li>\n<li>Support compliance monitoring and testing across multiple business areas<\/li>\n<li>Assist with board reporting and other registered fund compliance requirements<\/li>\n<li>Administer Code of Ethics processes, including personal trading, gifts and entertainment, and political contribution requirements<\/li>\n<li>Pre-clear employee trades<\/li>\n<li>Prepare and review regulatory filings, including Form ADV, Form PF, and 13F<\/li>\n<li>Monitor new rules and regulations and help implement related processes and controls<\/li>\n<li>Follow up on open compliance issues and support timely resolution<\/li>\n<li>Coordinate with internal and external stakeholders to complete compliance-related tasks<\/li>\n<li>Assist with ongoing development of compliance procedures, reporting, and controls<\/li>\n<\/ul>\n<h3>Qualifications<\/h3>\n<ul>\n<li>Bachelor&#8217;s degree required<\/li>\n<li>2-5 years of relevant experience in compliance, investment management, fund administration, public accounting, internal audit, or a related financial services function<\/li>\n<li>Strong understanding of registered funds required<\/li>\n<li>Familiarity with the Investment Company Act of 1940 strongly preferred<\/li>\n<li>Experience with compliance monitoring, regulatory filings, or Code of Ethics programs preferred<\/li>\n<li>Strong analytical, organizational, and communication skills<\/li>\n<li>Detail-oriented and comfortable working with data and reporting<\/li>\n<li>Able to manage multiple priorities and work independently<\/li>\n<li>Coachable, collaborative, and eager to continue developing within investment management compliance<\/li>\n<\/ul>\n<h3>Work Model<\/h3>\n<ul>\n<li>Hybrid &#8211; 4 days per week in office<\/li>\n<li>Chicago-based<\/li>\n<\/ul>\n<p> <\/div>\n<\/p>\n<p><img decoding=\"async\" src=\"https:\/\/counter.adcourier.com\/RWxsaWUuR2l2ZW5zLjk5MzkzLjExMzA5QG9saXZlcmphbWVzYXNzb2NpYXRlcy5hcGxpdHJhay5jb20.gif\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>A growing investment management firm is seeking a Compliance Associate to join its Legal &amp; Compliance team. 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This role will support compliance across a growing platform that includes registered investment funds, wealth management, and other investment products.<\/p>\n<p dir=\"auto\" data-start=\"395\" data-end=\"585\">The position is ideal for someone with a foundational understanding of registered funds and &#8217;40 Act compliance who is looking to continue developing within a collaborative, growing team.<\/p>\n<h3 dir=\"auto\" data-section-id=\"t2pyjw\" data-start=\"587\" data-end=\"607\">Responsibilities<\/h3>\n<ul data-start=\"609\" data-end=\"1422\">\n<li data-section-id=\"naf6r1\" data-start=\"609\" data-end=\"689\">Review daily portfolio compliance reports and investigate potential issues<\/li>\n<li data-section-id=\"mn0ex2\" data-start=\"690\" data-end=\"764\">Support compliance monitoring and testing across multiple business areas<\/li>\n<li data-section-id=\"as0cam\" data-start=\"765\" data-end=\"848\">Assist with board reporting and other registered fund compliance requirements<\/li>\n<li data-section-id=\"vyd559\" data-start=\"849\" data-end=\"984\">Administer Code of Ethics processes, including personal trading, gifts and entertainment, and political contribution requirements<\/li>\n<li data-section-id=\"kxzbt8\" data-start=\"985\" data-end=\"1012\">Pre-clear employee trades<\/li>\n<li data-section-id=\"sapf2n\" data-start=\"1013\" data-end=\"1094\">Prepare and review regulatory filings, including Form ADV, Form PF, and 13F<\/li>\n<li data-section-id=\"1pqzay9\" data-start=\"1095\" data-end=\"1180\">Monitor new rules and regulations and help implement related processes and controls<\/li>\n<li data-section-id=\"7gy0wk\" data-start=\"1181\" data-end=\"1248\">Follow up on open compliance issues and support timely resolution<\/li>\n<li data-section-id=\"17hmj9l\" data-start=\"1249\" data-end=\"1338\">Coordinate with internal and external stakeholders to complete compliance-related tasks<\/li>\n<li data-section-id=\"1opq1d0\" data-start=\"1339\" data-end=\"1422\">Assist with ongoing development of compliance procedures, reporting, and controls<\/li>\n<\/ul>\n<h3 dir=\"auto\" data-section-id=\"12f3so4\" data-start=\"1424\" data-end=\"1442\">Qualifications<\/h3>\n<ul data-start=\"1444\" data-end=\"2162\">\n<li data-section-id=\"13v1k77\" data-start=\"1444\" data-end=\"1472\">Bachelor&#8217;s degree required<\/li>\n<li data-section-id=\"2kiaff\" data-start=\"1473\" data-end=\"1642\">2-5 years of relevant experience in compliance, investment management, fund administration, public accounting, internal audit, or a related financial services function<\/li>\n<li data-section-id=\"1obmipp\" data-start=\"1643\" data-end=\"1698\">Strong understanding of registered funds required<\/li>\n<li data-section-id=\"1x5jb3o\" data-start=\"1699\" data-end=\"1775\">Familiarity with the Investment Company Act of 1940 strongly preferred<\/li>\n<li data-section-id=\"1idcwye\" data-start=\"1776\" data-end=\"1873\">Experience with compliance monitoring, regulatory filings, or Code of Ethics programs preferred<\/li>\n<li data-section-id=\"1ld7cfg\" data-start=\"1874\" data-end=\"1935\">Strong analytical, organizational, and communication skills<\/li>\n<li data-section-id=\"35gdk7\" data-start=\"1936\" data-end=\"2001\">Detail-oriented and comfortable working with data and reporting<\/li>\n<li data-section-id=\"50s1yd\" data-start=\"2002\" data-end=\"2061\">Able to manage multiple priorities and work independently<\/li>\n<li data-section-id=\"poqcl3\" data-start=\"2062\" data-end=\"2162\">Coachable, collaborative, and eager to continue developing within investment management compliance<\/li>\n<\/ul>\n<h3 class=\"PDq2pG_selectionAnchorContainer\" dir=\"auto\" data-section-id=\"epneqw\" data-start=\"2766\" data-end=\"2780\">Work Model<\/h3>\n<ul data-start=\"2782\" data-end=\"2838\">\n<li data-section-id=\"1crkxow\" data-start=\"2782\" data-end=\"2822\">Hybrid &#8211; 4 days per week in office<\/li>\n<li data-section-id=\"slfhjw\" data-start=\"2823\" data-end=\"2838\">Chicago-based<\/li>\n<\/ul>\n<\/div>\n<p><img decoding=\"async\" src=\"https:\/\/counter.adcourier.com\/RWxsaWUuR2l2ZW5zLjMwMDQ3LjExMzA5QG9saXZlcmphbWVzYXNzb2NpYXRlcy5hcGxpdHJhay5jb20.gif\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>A growing investment management firm is seeking a Compliance Associate to join its Legal &amp; Compliance team. 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Manager"},"content":{"rendered":"<div class=\"slds-container_x-large slds-container_center\">\n<h3 data-start=\"235\" data-end=\"260\"> <\/h3>\n<h3 data-start=\"235\" data-end=\"260\"><strong data-start=\"239\" data-end=\"260\">Position Overview<\/strong><\/h3>\n<p data-start=\"261\" data-end=\"651\">We are partnering with a Partner Owned CPA firm who are seeking a seasoned tax professional to take ownership of complex tax engagements across diverse entity types, including partnerships, corporations, fiduciaries, tax-exempt organizations, and individuals. 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Lifestyle Programs:<\/strong> Access to employee wellness initiatives promoting physical, emotional, and mental health.<\/p>\n<\/li>\n<li data-start=\"1017\" data-end=\"1139\">\n<p data-start=\"1019\" data-end=\"1139\"><strong data-start=\"1019\" data-end=\"1036\">Summer Hours:<\/strong> Enjoy a flexible summer schedule that allows for a better work-life rhythm during the warmer months.<\/p>\n<\/li>\n<li data-start=\"1140\" data-end=\"1252\">\n<p data-start=\"1142\" data-end=\"1252\"><strong data-start=\"1142\" data-end=\"1165\">Retirement Savings:<\/strong> Employer contributions to a 401(k) plan to help you plan confidently for the future.<\/p>\n<\/li>\n<li data-start=\"1253\" data-end=\"1394\">\n<p data-start=\"1255\" data-end=\"1394\"><strong data-start=\"1255\" data-end=\"1284\">Professional Development:<\/strong> Support for CPA licensure and incentives for earning additional certifications to help advance your career.<\/p>\n<\/li>\n<li data-start=\"1395\" data-end=\"1542\">\n<p data-start=\"1397\" data-end=\"1542\"><strong data-start=\"1397\" data-end=\"1423\">Community Involvement:<\/strong> Opportunities to give back through firm-sponsored volunteer programs and partnerships with charitable organizations.<\/p>\n<\/li>\n<\/ul>\n<\/div>\n<p>For more information, please reach out to: Jordon.bennett@oliverjames.com<\/p>\n<p><img decoding=\"async\" src=\"https:\/\/counter.adcourier.com\/Sm9yZG9uLkJlbm5ldHQuOTQxMTUuMTEzMDlAb2xpdmVyamFtZXNhc3NvY2lhdGVzLmFwbGl0cmFrLmNvbQ.gif\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Position Overview We are partnering with a Partner Owned CPA firm who are seeking a seasoned tax professional to take ownership of complex tax engagements across diverse entity types, including partnerships, corporations, fiduciaries, tax-exempt organizations, and individuals. This role involves managing all aspects of&#8230;<\/p>\n","protected":false},"author":0,"featured_media":0,"template":"","meta":{"_acf_changed":false},"jobrelay_source":[1247,1248],"discipline":[1246,19],"industry":[],"contract_type":[1225],"vacancy_type":[1274],"work_type":[],"location":[1310],"class_list":["post-14627","job","type-job","status-publish","hentry","discipline-accountancy","discipline-accountancy-finance","location-new-york"],"acf":{"job_reference":"JOB-102025-291883_1790195682","job_type":"Permanent","job_industry":"Accountancy|Accountancy & Finance","working_arrangement":"","featured":"","start_date":"","expiry_date":"2026-09-30","salary_currency":"USD","salary_from":"","salary_to":"160000","salary_per":"annum","salary_benefits":"","salary":"Up to US$160000 per annum","custom_data":"","application_email":"Jordon.Bennett.94115.11309@oliverjamesassociates.aplitrak.com","application_url":"https:\/\/www.aplitrak.com\/?adid=Sm9yZG9uLkJlbm5ldHQuOTQxMTUuMTEzMDlAb2xpdmVyamFtZXNhc3NvY2lhdGVzLmFwbGl0cmFrLmNvbQ","contact_name":"Jordon Bennett","contact_email":"Jordon.Bennett@oliverjames.com","contact_telephone":"+1 (646) 809-1652","contact_url":"","company_name":"","company_tagline":"","company_website":"","company_twitter":"","company_logo":"","company_video":"","job_location":"New York","job_location_raw":"N. 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data-end=\"823\">\n<p>Proven ability to manage a profitable book and develop broker relationships.<\/p>\n<\/li>\n<li data-section-id=\"1czwzli\" data-start=\"824\" data-end=\"899\">\n<p>Experience mentoring or supporting the development of other underwriters.<\/p>\n<\/li>\n<li data-section-id=\"1obadme\" data-start=\"900\" data-end=\"965\">\n<p>Strong communication, interpersonal, and organizational skills.<\/p>\n<\/li>\n<li data-section-id=\"1f9mx5x\" data-start=\"966\" data-end=\"1046\">\n<p>Bachelor&#8217;s degree or equivalent experience; insurance designations are a plus<\/p>\n<\/li>\n<\/ul>\n<p><img decoding=\"async\" src=\"https:\/\/counter.adcourier.com\/SGFTdW4uUGFlay41NjEyMS4xMTMwOUBvbGl2ZXJqYW1lc2Fzc29jaWF0ZXMuYXBsaXRyYWsuY29t.gif\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>We&#8217;re partnering with a specialty insurance platform on a Senior E&amp;S Underwriting opportunity focused on underwriting, broker relationships, and team mentorship. The role will manage and grow a profitable book of business while providing guidance on complex risks and supporting the development of other underwriters. 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America > USA > Arizona > Maricopa County > Phoenix","geo_lat":"33.4482948","geo_long":"-112.0725488","geo_formatted_address":"Phoenix, AZ, USA","geo_city":"Phoenix","geo_country_short":"US","geo_country_long":"United States","geo_administrative_area_level_2_short":"Maricopa County","geo_administrative_area_level_2_long":"Maricopa County","geo_administrative_area_level_1_short":"AZ","geo_administrative_area_level_1_long":"Arizona","talentlink_job_id":""},"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v28.5 (Yoast SEO v28.5) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Senior Commercial Lines Underwriter - Oliver James<\/title>\n<meta name=\"description\" content=\"We&#039;re hiring a Senior E&amp;S Underwriter. 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The successful candidate will be a change-focused leader who can develop teams, modernize processes, introduce automation, and build scalable solutions across a high-volume insurance organization.<\/p>\n<p><strong>Key Responsibilities<\/strong><\/p>\n<ul>\n<li>Lead cash operations, including cash identification, application, reconciliation, collections, reporting, and related accounting activities.<\/li>\n<li>Lead and develop a team of finance professionals, building accountability, capability, and a continuous-improvement culture.<\/li>\n<li>Oversee high-volume cash transactions across ACH, wires, checks, credit cards, and other payment channels.<\/li>\n<li>Drive improvements across AR, collections, unidentified cash, aged receivables, and working capital.<\/li>\n<li>Lead reconciliation processes across banking platforms, billing systems, ERP and cash management systems, sub-ledgers, and the general ledger.<\/li>\n<li>Lead automation and finance transformation initiatives, identifying opportunities to eliminate manual processes and improve scalability.<\/li>\n<li>Partner with IT and cross-functional teams to implement digital banking integrations, automated cash application, and financial systems enhancements.<\/li>\n<li>Define project objectives, implementation plans, KPIs, and success measures for transformation initiatives.<\/li>\n<li>Establish and enhance policies, controls, and processes across cash application, clearing, reconciliation, and intercompany cash.<\/li>\n<li>Develop dashboards and reporting that improve visibility into cash, collections, receivables, and operational performance.<\/li>\n<li>Work confidently across a suite of ERP, banking, cash management, and financial systems, driving integration and process improvements across platforms.<\/li>\n<li>Partner with Finance, Treasury, Compliance, Audit, and Accounting leadership to strengthen controls and support a scalable operating model.<\/li>\n<li>Provide regular updates to senior Finance leadership on transformation progress, KPIs, and operational performance.<\/li>\n<\/ul>\n<p><strong>Key Experience<\/strong><\/p>\n<ul>\n<li>Significant cash operations experience within the insurance industry is required.<\/li>\n<li>Experience across cash application, collections, AR\/AP, reconciliations, treasury, or operational finance.<\/li>\n<li>Proven experience leading and developing teams in a complex, high-volume environment.<\/li>\n<li>Strong understanding of <span style=\"text-decoration: underline\"><strong>insurance industry<\/strong><\/span> is a must with knowledge of specifci cash flows, premium receipts, receivables, reconciliations, and downstream accounting.<\/li>\n<li>Experience leading automation, finance transformation, systems implementation, or process improvement initiatives.<\/li>\n<li>Strong experience working across multiple ERP, banking, cash management, and financial systems.<\/li>\n<li>Strong stakeholder management skills with the ability to influence Finance, Treasury, IT, and senior leadership.<\/li>\n<li>Strong analytical, communication, project management, and change leadership skills.<\/li>\n<\/ul>\n<p> To be considered for the role please apply using the prompts provided. Direct outreach applications will not be considered given the amount of applications. <\/p>\n<p><img decoding=\"async\" src=\"https:\/\/counter.adcourier.com\/Q2hyaXMuRG9kZHMuMjgyMDUuMTEzMDlAb2xpdmVyamFtZXNhc3NvY2lhdGVzLmFwbGl0cmFrLmNvbQ.gif\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Cash Operations Leader Location: Remote with periodic travel Position Overview Our client is seeking an experienced Cash Operations Manager to lead a high-performing cash operations function and drive the next phase of process, technology, and finance transformation within a complex insurance environment. 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Over time, the role will become increasingly hands-on as the internal engineering team is established.<\/p>\n<\/p>\n<p><strong>Key responsibilities include:<\/strong><\/p>\n<ul>\n<li>Owning the technical delivery of a business domain across applications, services, databases, and infrastructure.<\/li>\n<li>Designing and building event-driven services supporting workflows such as RFPs, claims, and other business events.<\/li>\n<li>Working across backend services, data ingestion, database design, semantic layers, and federated GraphQL.<\/li>\n<li>Providing technical direction to offshore engineers and helping establish engineering standards and best practices.<\/li>\n<li>Evaluating, adapting, and building on top of a vendor platform.<\/li>\n<li>Contributing to the architecture and technical direction of a brand-new platform capability.<\/li>\n<li>Working with sensitive data, including PII and PHI, within a secure and scalable environment.<\/li>\n<\/ul>\n<p><strong>What we&#8217;re looking for:<\/strong><\/p>\n<ul>\n<li>We&#8217;re looking for a strong, hands-on Senior Engineer who enjoys having genuine ownership over how a platform is designed and built. You should be comfortable moving between architecture and implementation, making technical decisions rather than simply following them.<\/li>\n<li>You&#8217;ll ideally have a strong background in C#\/.NET, AWS and modern full-stack development, with experience building event-driven systems and data-intensive platforms. React, Python and GraphQL experience are valuable, but we&#8217;re more interested in someone who understands the underlying engineering principles than someone who simply matches a technology checklist.<\/li>\n<li>Just as importantly, you&#8217;ll need to be comfortable working with offshore teams and vendors. Early on, a large part of the role will involve providing technical direction and understanding what the vendor platform can and can&#8217;t deliver. 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