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Compliance

Compliance Associate

Bala Cynwyd, PA

About the Role

Global Advisers is seeking a Compliance Associate in Bala Cynwyd, PA to support the firm's investment-adviser compliance program through monitoring, documentation, testing, regulatory filings, advertising review, and practical guidance to business teams. The role is designed for professionals who can exercise sound judgment, work collaboratively, and maintain high standards of accuracy, client service, and professional conduct.

Responsibilities

  • Support compliance monitoring, testing, attestations, and recurring control reviews.
  • Assist with Form ADV, Form CRS, state filings, books and records, and licensing workflows.
  • Review marketing and communications against applicable advertising requirements and firm policy.
  • Maintain compliance calendars, evidence, logs, and issue-tracking records.
  • Research regulatory changes and help translate them into practical procedures.
  • Escalate potential conflicts, complaints, control failures, or regulatory concerns promptly.

Qualifications

  • Bachelor's degree or equivalent professional experience.
  • One or more years of investment-adviser, broker-dealer, legal, audit, risk, or financial-services compliance experience preferred.
  • Strong writing, documentation, and analytical skills.
  • High attention to detail and comfort working with rules, procedures, and deadlines.
  • Strong professional judgment and discretion.

Preferred Qualifications

  • Experience with state-registered RIAs, Form ADV, advertising review, or regulatory examinations.
  • IACCP®, CRCM, JD, or related credential/coursework.

Skills for This Role

Investment Adviser Compliance, Form ADV, Form CRS, Advertising & Marketing Rule, Books & Records, Compliance Testing & Monitoring, Regulatory Filings, Policies & Procedures

How We Evaluate Candidates

Global Advisers operates as a meritocracy. We evaluate candidates against the requirements of the role, demonstrated capability, judgment, initiative, professionalism, and the quality of their work.

Employment Notices

Equal Employment Opportunity

Global Advisers provides equal employment opportunity to qualified applicants and employees without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, military or veteran status, or any other characteristic protected by applicable federal, state, or local law. Employment decisions are based on merit, qualifications, performance, and legitimate business needs. Global Advisers does not tolerate unlawful discrimination, harassment, or retaliation.

Reasonable Accommodation

Global Advisers is committed to providing reasonable accommodation to qualified applicants with disabilities during the recruiting and application process. If you need an accommodation to apply for a role, contact careers@globaladvisers.com. Requests for accommodation are considered in accordance with applicable law.

Employment Information

Role requirements, compensation, benefits, work arrangements, licensing requirements, and employment eligibility are position-specific and subject to applicable law. Any background, credential, or licensing review is conducted only as appropriate for the role and in accordance with applicable federal, state, and local requirements.