Compliance Associate

Compliance Associate

• Rockford IL Headquarters
• Rockford, IL 61107; Chicago IL Madison Ave
• Chicago, IL 60606; Middleton WI
• Middleton, WI 53562

Overview

Salary Range $24.00 - $33.00 Hourly Position Type Full Time Job Shift Day

Description

Our Compliance Associate role offers a unique opportunity to learn from experienced industry professionals while gaining hands-on exposure to regulatory oversight, compliance testing, audits, and firm-wide compliance initiatives. We're seeking a detail-oriented and motivated professional who thrives in a fast-paced environment and is eager to build a long-term career in financial services compliance!

The Compliance Associate is responsible for assisting in the administration of the firm's compliance program to meet regulatory requirements. The role is ideally suited for an individual who is eager to learn and thrives in a fast-paced environment.

In this role, you can expect to focus in the following areas:

• Assist in the day-to-day operation of the Compliance Program
• Perform testing and audits to support the surveillance of the firm's compliance policies
• Assist with personal securities monitoring
• Assist in the preparation of data needed for routine regulatory filings
• Assist with proxy voting administration
• Be a conduit for discovering or the internal reporting of alleged violations of rules, regulations, policies, procedures, and Code of Ethics.
• Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
• Ensure proper reporting of violations or potential violations to the CCO
• Assist in any external examinations performed by regulators
• Assist in preparing data requested by auditors for surprise custody exam and annual CEFEX renewal
• Maintain team approach by assisting and filling in for others

Qualifications

This position typically requires the following qualifications

Education

• Bachelor's degree from an accredited college or university in finance, business administration or related field.

Experience

• One to three years of experience, preferably in an operations or compliance role in the financial services industry.

Preferred Qualifications

• Willing to pursue and obtain Investment Adviser Certified Compliance Professional (IACCP), Certified Regulatory and Compliance Professional (CRCP) or similar professional designation.

What Sets Savant Apart

• Collaborative, integrated model across advisory, tax, and planning-no silos
• Growth-oriented firm, offering meaningful opportunities for career development and long-term impact
• Values-driven culture, grounded in excellence, integrity, lifelong learning, respect, growth, and servant leadership
• Majority employee-owned, giving our team a shared stake in our long-term success

The Perks

At Savant, we invest in our people-supporting both their well-being and long-term growth.

We take a market-based approach to compensation. The expected base hourly range for this role is $24.00 - $33.00 an hour, final pay determined by experience, skills, and location. This role may also be eligible for additional incentive compensation based on responsibilities and performance.

Our Total Rewards

Core Benefits (Effective Day One)

• Medical, dental, and vision coverage with multiple plan options
• Health Savings Account (HSA) or Flexible Spending Account (FSA)
• Company-paid life insurance, AD&D, and disability coverage

Financial & Long-Term Rewards

• 401(k) with company match (Roth and Traditional options)
• Team-based incentive opportunities and recognition program

Time Away & Flexibility

• Generous paid time off, plus at least 10 paid holidays
• Annual "Savantiversary" day
• Summer Hours (shorter work weeks during the summer)
• Parental leave, personal leave, and other life-event support

Well-Being & Everyday Perks

• Employee Assistance Program (EAP)
• Wellness reimbursements (e.g., gym memberships)
• Flexible "Dress for Your Day" approach

We're happy to share more details about our benefits and total rewards during the hiring process.

Take your career to new heights, apply today!

All applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

We are not accepting unsolicited resumes from agencies and/or search firms for this job posting.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required of the incumbent in this position. Any combination of equivalent education and work experience will be considered.

Savant Capital LLC, is an Equal Opportunity Employer