We're seeking a detail-oriented and motivated Compliance Associate to support our firm's regulatory compliance program in a fast-paced, growth-focused environment.
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.
For nearly 40 years, Savant Wealth Management has served as a trusted advisor to established individuals, families, and businesses seeking clarity and confidence in their financial lives. We are a fee-only, independent, fiduciary wealth management firm providing comprehensive guidance on investments, financial planning, tax and business consulting, estate planning, trust services, and family office support. At the heart of our firm is a culture of lifelong learning—one that values curiosity, continuous improvement, and helps our clients build their ideal futures. If you want to be part of a culture that is defined by strong values - Savant is right for you.
The Compliance Associate 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
- Perform other duties as requested
A couple things to note about our Compliance Associate position:
- This position will be based out of our headquarters in Rockford, IL.
- The position will work M-F 8am-5pm.
The Compliance Associate position typically requires the following qualifications:
- Bachelor’s degree from an accredited college or university in finance, business administration or related field.
- 1-3 years of experience, preferably in an operations or compliance role in the financial services industry.
- Willing to pursue and obtain Investment Adviser Certified Compliance Professional (IACCP), Certified Regulatory and Compliance Professional (CRCP) or similar professional designation.
Why Join Us?
- Our Vision: Transform personal and financial dreams into goals and goals into reality.
- Our Mission: To build one million ideal futures for our clients, our team, and the communities we serve.
- We are a team with distinct backgrounds and diverse views.
- We believe in collaboration, innovation, excellence, doing what’s right, and helping our team to provide world class service.
- Our culture is described through our corporate values of excellence, integrity, lifelong learning, respect, growth, and servant leadership. We are dedicated to living these values through our daily interactions with each other, our clients, and our communities.
The Perks:
At Savant, we are committed to supporting our employees' as well as investing in their well-being and growth. We take a market-based approach to compensation. The expected base salary range for this role nationally is $24-33 an hour. However, final base pay will be carefully determined based on several factors, including responsibilities, skills, relevant experience, geographic location, and market conditions. Additionally, this role may be eligible for other forms of compensation and benefits.
In addition to compensation. We also offer a benefits package designed to enhance both your personal and professional life. Below is an overview of our offering and the specific benefits available for this role can be discussed in detail during the hiring process.
- Benefit Eligibility on Day One: Enjoy immediate access to a robust benefits package starting on your first day of employment.
- Choice of Medical Plans: Select from two medical plans tailored to fit your needs.
- Health & Wellness Accounts: Opt for a Health Savings Account (HSA) or Flexible Spending Account (FSA) to manage your healthcare expenses.
- Flexible Dental Coverage: Choose between two dental plan options for optimal oral health.
- Vision Insurance: Keep your eyes healthy with our vision insurance plan.
- Company-Paid Life & AD&D Insurance: Feel secure with fully covered basic life insurance and accidental death & dismemberment benefits.
- Company-Paid Disability Coverage: Rest easy knowing you’re covered with both short-term and long-term disability plans.
- 401(k) with Company Match: Invest in your future with both Roth and Traditional 401(k) plans, featuring a per pay period company match.
- Generous Paid Time Off: Benefit from PTO that increases with your years of service, at least 11 paid holidays each year, a paid day each year for your Savantiversary, and enjoy shorter work weeks with our Summer Hours.
- Additional Leave and Time Off Benefits: Personal leave, parental leave, professional development paid time, and bereavement pay are just a few examples of how you will be supported with time off and other benefits during life's most critical moments.
- Dress Code: Enjoy a “Dress for Your Day” approach to your style. We offer wardrobe flexibility based on office culture, client expectations, and your daily schedule.
- Employee Recognition: Enjoy monetary awards through our recognition program.
- Employee Assistance Program: Access support through our Employee Assistance Program whenever you need it.
- Exclusive Discounts: Take advantage of various discount programs for additional savings.
- Wellness Reimbursements: Get reimbursed for gym memberships and other wellness programs to stay fit and healthy.
- Additional Perks: Get reimbursed for your warehouse club memberships and receive an allowance for Savant Swag.
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.
