Job Opening: Elevate

Job Role: Senior Associate- Compliance

Location: Remote

PQE: 5+

Responsibilities & QualificationsSpecifically, you will:

  • Be responsible for review of all Fund Raising/Advertising/ Marketing material/products shared by the customer, adhering to regulatory requirements and internal guidelines.
  • Keep track of and provide regular updates about regulatory changes and the applicability/ impact assessment for the given situation.
  • Develop and share creative review strategies to improve output and accuracy and focus on areas of greatest risk.
  • Develop and review process documentation.
  • Identify any areas requiring clarification or refresher training and identify controls that need to be put in place.
  • Participate in preparing Periodic Governance Reports with the customer.
  • Review and revise reports timely and accurately before they are sent out to the customer.
  • Attend weekly client calls to raise clarifications/updates regarding policies and review process.

Skills for Success:

  • Can demonstrate a fundamental knowledge of regulatory requirements in the financial services industry.
  • Can interpret and apply regulatory provisions to the given situation.
  • Is passionate about delivering first-class customer service.
  • Has an excellent focus and a high level of attention to detail.
  • Is a team player who works well within a collaborative environment.


  • 5 or more years of relevant experience.
  • Experience in the legal review process for various financial marketing materials/products used by funds.
  • Have experience working with legal reviews/due diligence programs.
  • Experience creating technical compliance workflows and detailed playbooks.
  • Knowledge of Securities Regulations/guidelines, FCPA, FINRA regulations, and SEC compliance policies.


  • Bachelor’s Degree required
  • Exposure/Specialization in Finance as well as Legal domain; preferably law graduate
  • Financial or Compliance qualifications preferred – Registered Representative, Series 7, 24 or 63, ICA Compliance Diplomas

Apply here

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