Compliance Associate / Senior Associate
Exciting opportunity with a leading investment firm managing over $15 billion in assets. They are seeking a Compliance Associate / Senior Associate to support their Operational & IT Audit functions. Ideal candidates will have 2-4 years of experience in IT Audit or Operational Audit, with a strong background in risk management and internal controls. This is a great opportunity to join a fast-paced, collaborative environment with exposure to both operational and IT risk functions.
Salary: $130-150K (ideal range: $130-140K) plus bonus and long-term incentives.
Hybrid work: 3 days in-office
Please apply for more information.
location: Palo Alto, California
job type: Permanent
salary: $130,000 - 150,000 per year
work hours: 9 to 5
education: Bachelor's degree
experience: 2 Years
responsibilities:
Position: Compliance Associate / Senior Associate
Job Overview:
We are seeking a detail-oriented Compliance Associate / Senior Associate to support our Operational Audit and IT Audit functions within a dynamic investment firm. This role is critical in ensuring regulatory compliance, assessing operational risks, and enhancing internal controls across business and IT systems. The ideal candidate will have experience in compliance, internal audit, or risk management within the financial services industry, with a strong understanding of investment operations and IT controls.
Key Responsibilities:
Operational Audit Functions:
- Conduct audits of investment operations, trading activities, and financial reporting processes to ensure adherence to internal policies and external regulatory requirements.
- Identify and assess operational risks, recommending control enhancements to mitigate vulnerabilities.
- Assist in the development and execution of internal audit programs, including risk assessments and process walkthroughs.
- Collaborate with key business units to ensure compliance with SEC, FINRA, and other relevant regulations.
- Monitor and report on operational control deficiencies and track remediation efforts.
- Assess IT systems, applications, and infrastructure for compliance with industry standards, cybersecurity policies, and data protection regulations.
- Evaluate IT general controls (ITGCs), including access management, change management, and disaster recovery.
- Review IT security policies and procedures to ensure alignment with best practices and regulatory expectations.
- Work closely with IT teams to identify and remediate vulnerabilities related to data security and system integrity.
- Support cybersecurity and incident response audits as needed.
qualifications:
Qualifications & Experience:
- Bachelor's degree in Finance, Accounting, Information Systems, or a related field.
- 2-5+ years of experience in compliance, internal audit, or risk management, preferably within the investment or financial services industry.
- Knowledge of IT auditing frameworks (e.g., NIST, COBIT, ISO 27001, SOC 1 & SOC 2).
- Experience conducting risk assessments and implementing control improvements.
- Strong analytical, problem-solving, and communication skills.
- Opportunity to work in a fast-paced investment firm with exposure to both operational and IT risk functions.
- Collaborative and growth-oriented environment with professional development opportunities.
- Competitive compensation and benefits package.
skills: Audit - Internal
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.
At Randstad, we welcome people of all abilities and want to ensure that our hiring and interview process meets the needs of all applicants. If you require a reasonable accommodation to make your application or interview experience a great one, please contact HRsupport@randstadusa.com.
Pay offered to a successful candidate will be based on several factors including the candidate's education, work experience, work location, specific job duties, certifications, etc. In addition, Randstad offers a comprehensive benefits package, including health, an incentive and recognition program, and 401K contribution (all benefits are based on eligibility).
This posting is open for thirty (30) days.
Qualified applicants in San Francisco with criminal histories will be considered for employment in accordance with the San Francisco Fair Chance Ordinance.
Qualified applicants in the unincorporated areas of Los Angeles County with criminal histories will be considered for employment in accordance with the Los Angeles County's Fair Chance Ordinance for Employers.
We will consider for employment all qualified Applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.
