Weaver is a full-service national accounting, advisory and consulting firm that values a diverse and collaborative workplace culture. The Governance, Risk, and Compliance Associate will support audit procedures, compliance program implementation, and ongoing monitoring activities in the asset management industry.
Responsibilities
- Evaluate compliance with internal policies, procedures, and regulatory requirements
- Assist in reviewing internal policies, procedures, and regulatory requirements for compliance
- Support the implementation and maintenance of compliance programs for asset managers, including institutional clients and registered investment advisers
- Contribute to the development of risk-based audit plans and participate in compliance monitoring and testing activities
- Help prepare and maintain regulatory filings (e.g., Forms ADV, 13F, 13H) and adviser registrations
- Draft audit findings and assist in preparing reports for management review
- Participate in mock regulatory examinations and related preparation activities
- Help enforce the firm’s Code of Ethics and track employee compliance
- Assist in delivering compliance training and maintaining training records
- Support the operation of electronic surveillance systems to monitor regulatory compliance
- Monitor regulatory updates and help adjust internal procedures as needed
- Interpret investment guidelines to ensure compliance with client mandates
- Code and test compliance rules using platforms such as BlackRock Aladdin
- Conduct pre-trade and post-trade compliance monitoring
- Oversee investment activities to ensure adherence to regulatory and internal policies
Skills
- Bachelor's degree in Finance, Business, or a related field
- 1+ year of experience in audit, consulting, or investment management industry
- Strong analytical and problem-solving skills
- Familiarity with the Investment Advisers Act of 1940
- Experience with compliance program development and maintenance
- Understanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworks
- Excellent research skills and attention to detail
- Ability to manage multiple projects and shifting priorities
- Strong communication and interpersonal skills
- Self-motivated with a commitment to continuous learning
- Proficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint)
- Flexibility to accommodate client or team meetings outside standard hours
- Master's degree in Business, Accounting, or Management Information Systems
- Experience with various asset classes, including fixed income, equities, and derivatives
Benefits
- Competitive health benefits
- Medical
- Dental
- Vision
- Disability
- Life insurance
- 401(k) plan
- Flexible scheduled time off (STO)
- Minimum of 56 hours of sick and safe leave
- 11 holidays
- 2 scheduled recharge days
- In-house CPE and learning opportunities through our internal Learning & Development department
- Multi-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growth
Company Overview
Weaver is an accounting and auditing firm. It was founded in 1950, and is headquartered in Austin, Texas, USA, with a workforce of 1001-5000 employees. Its website is http://www.weaver.com.Company H1B Sponsorship
Weaver has a track record of offering H1B sponsorships, with 23 in 2025, 19 in 2024, 9 in 2023, 13 in 2022, 6 in 2021, 7 in 2020. Please note that this does not guarantee sponsorship for this specific role.
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