Compliance Associate

Job Description

Job Description

Behind the Title

At Innovia Wealth, compliance is more than a regulatory requirement – it's the foundation of trust in everything we do. Our Compliance department helps ensure that our firm operates with integrity, consistency, and confidence in every decision and interaction.

As a Compliance Associate, you will be a key partner to our Chief Compliance Officer and the broader Innovia team. From monitoring day-to-day compliance activities to conducting reviews and supporting the execution of our compliance program, you will play a hands-on role in safeguarding our clients, our people, and our firm. Through diligence, clear communication, and proactive problem-solving, you will contribute to the culture of care and responsibility that defines the Innovia experience.

The Compliance Associate Role at Innovia

Once fully onboarded, you'll take on the following responsibilities as a high-functioning Compliance Associate :

• Conduct periodic reviews and audits of firm activities for compliance with SEC rules and internal policies
• Assist in maintaining and updating compliance calendars, logs, and reports
• Review marketing and advertising materials for regulatory compliance (SEC Marketing Rule) using RedOak
• Review email communications with Message Watcher
• Support administration and monitoring of the firm's Code of Ethics, including personal trading reviews and attestations
• Assist with the administration and review of vendor due diligence and cybersecurity protocols
• Help coordinate and respond to regulatory filings (e.g., Form ADV updates, Form CRS, etc.)
• Track and follow up on employee training, certifications, and compliance tasks
• Document compliance testing and escalate findings to the CCO as appropriate
• Provide support during SEC exams and internal audits
• Maintain organized records of all compliance reviews, testing, and training activities

Qualifications / Competencies

Innovia ISM's

Our culture is our secret sauce. Here's what we live by :

Our Commitment to Our Team

We embrace a strong culture that provides clear and consistent messaging. We provide the tools and training needed to support career development and allow for growth opportunities. We achieve our goals through a spirit of collaboration and cooperation. We improve through our learns and we celebrate our wins.

Compensation & Benefits

Ready to grow with us?

If you're energized by creating clarity, consistency, and confidence - and excited to be part of a team where culture is more than a buzzword - you've found the right place. Join our team that believes in ownership, teamwork and that the best is yet to come!

We require a background check as a condition of offered employment.