<p>Compliance Associate</p> <p>Our client, a financial services firm in the Glen Mills, PA area, is seeking a Compliance Associate to join their team! The Compliance Associate will work with the CCO Services team and is an excellent opportunity for early-career professionals with a background in finance or investment management who are eager to grow their careers in regulatory compliance within the investment management industry.</p> <p>In this role, the Compliance Associate will play a key part in supporting and implementing compliance programs for SEC-registered investment advisers and funds (including mutual funds and ETFs). This role will gain direct exposure to the systems and processes that govern fund and adviser oversight, building a strong foundation in compliance, risk controls, and regulatory governance.</p> <p>Responsibilities</p> <ul> <li>Prepare CCO reports for registered advisers and fund boards </li><li>Conduct annual reviews of compliance policies and procedures under Rule 206(4)-7 and Rule 38a-1 </li><li>Maintain and update key compliance documentation (compliance calendar, manual, code of ethics) </li><li>Perform annual due diligence on fund service providers (investment advisers, sub-advisers, administrators, custodians, etc.) </li><li>Assist with regulatory exams conducted by the SEC </li><li>Support the creation and maintenance of firm-wide compliance policies and procedures </li><li>Monitor regulatory changes and contribute to policy updates </li><li>Develop and maintain compliance risk assessments and analysis frameworks </li></ul> <p>Qualifications</p> <ul> <li>Bachelor's degree in Finance, Accounting, Business, or a related field </li><li>2+ years of experience in finance, compliance, audit, or investment operations </li><li>Strong analytical and organizational skills </li><li>Proficiency in Microsoft Office, especially Excel </li><li>Excellent written and verbal communication skills </li><li>Ability to manage projects and use project management tools </li><li>Strong interpersonal skills and a team-oriented attitude </li><li>Experience working with registered investment companies (e.g., mutual funds, ETFs) is preferred </li><li>Familiarity with the Investment Advisers Act of 1940 and Investment Company Act of 1940 is preferred </li><li>Exposure to fund service providers such as administrators, transfer agents, or custodians is preferred </li></ul> <p>Juno is an Equal Opportunity Employer that provides equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state or local law. The Company is committed to this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities and general treatment during employment. It's expected that all employees are aware of this policy and that they create an environment that's sensitive and respectful to all individuals.</p>