{"id":2200267,"url":"https://alion.io/job/eisneramper-compliance-associate","title":"Compliance Associate","company":{"id":1792477,"name":"EisnerAmper","domain":"eisneramper.com","url":"https://alion.io/company/eisneramper-com","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"A","score":85,"open_postings":33,"ghost_share":0,"stale_share":0.606,"repost_share":0,"time_to_fill_p50_days":47,"computed_at":"2026-10-10T05:45:15Z"}},"role":"Legal","role_family":"Legal","seniority":"middle","employment_type":"full_time","work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Raleigh, United States","Minneapolis, United States","United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":77000,"max_usd":191000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":850},"experience_years_min":3,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Microsoft Office","optional":true},{"name":"Outlook","optional":true}],"status":"live","first_seen_at":"2026-10-09T21:09:51Z","employer_posted_date":"2026-10-09","last_verified_at":"2026-10-11T18:17:02Z","board_verified":true,"closed_at":null,"days_open":1,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":1},"description":"Job Description\nAt Prosperity - An EisnerAmper Company, you will be responsible for shaping and executing the strategic vision of our Retirement Plan Services practice. This role combines deep technical expertise, business development leadership, and operational ownership to deliver a scalable, high-quality retirement plan offering across the firm.\nAt Prosperity - An EisnerAmper Company, we are seeking a detail-oriented and highly motivated Compliance professional to join our growing team. In this role, you will play an important part in supporting the firm's regulatory compliance program, helping ensure adherence to applicable laws, regulations, and internal policies. You will work closely with internal teams to monitor compliance activities, support regulatory examinations, review account documentation, and identify potential risks. This opportunity is ideal for someone who enjoys working in a collaborative environment, has a strong understanding of financial services regulations, and is eager to contribute to a culture of integrity, accountability, and regulatory excellence.\nWhat it Means to Work for Prosperity:\nYou will have the flexibility to manage your days in support of our commitment to work/life balance \nYou will join a culture that has received multiple top “Places to Work” awards \nWe believe that great work is accomplished when cultures, ideas and experiences come together to create new solutions \nWe understand that embracing our differences is what unites us as a team and strengthens our foundation \nShowing up authentically is how we, both as professionals and a Firm, find inspiration to do our best work \nWhat Work You Will Be Responsible For:\nSupport the day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.\nAssist with reviewing, updating, and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.\nMaintain and monitor the compliance calendar, ensuring regulatory filings, internal reviews, and compliance obligations are completed accurately and on time.\nReview new account opening documentation to ensure completeness, accuracy, and adherence to regulatory and internal compliance requirements.\nAssist with regulatory examinations, audits, and information requests by gathering documentation, organizing records, and coordinating timely responses.\nConduct due diligence reviews of vendors and third-party service providers, including monitoring ongoing compliance requirements.\nReview marketing, advertising, and client-facing materials to ensure compliance with applicable regulations and firm policies.\nSupport the administration of the firm's Code of Ethics program, including employee attestations, personal trading reviews, and related compliance monitoring.\nStay informed of regulatory developments and industry trends, helping communicate relevant updates and potential impacts to employees and management.\nServe as a resource for employees regarding compliance-related questions, escalating potential concerns or regulatory issues when appropriate.\nCollaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.\nParticipate in special projects and other compliance initiatives as needed.\nTravel occasionally to firm offices and training events as required.\nBasic Qualifications\nBachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field.\n3-5 years of experience in compliance, regulatory affairs, audit, operations, or the financial services industry.\nPreferred Qualifications\nExperience working within a Registered Investment Adviser (RIA), broker-dealer, wealth management firm, or similar financial services organization.\nWorking knowledge of SEC, FINRA, and investment adviser regulatory requirements.\nSeries 65 license preferred.\nExperience supporting regulatory examinations, compliance monitoring, or internal audits.\nAbility to exercise sound judgment, maintain confidentiality, and demonstrate a high level of integrity and professionalism.\nStrong interpersonal skills with the ability to collaborate effectively across departments and communicate with employees at all levels.\nAbility to adapt to changing regulatory requirements and thrive in a fast-paced, evolving environment.\nCommitment to promoting a strong culture of compliance, ethical conduct, and continuous improvement.\nProficiency in Microsoft Office applications, including Excel, Word, and Outlook.\nStrong organizational skills with the ability to manage multiple priorities and meet deadlines.\nExcellent attention to detail, analytical thinking, and problem-solving abilities.\nStrong written and verbal communication skills.\nAbout EisnerAmper\nEisnerAmper is one of the largest accounting, tax, and business advisory firms, employing approximately 450 partners and 4,500 employees worldwide. We combine responsiveness with a long-range perspective to help clients address today’s pressing issues and position them for future success.\nOur clients range from sophisticated financial institutions and start-ups to global public firms and middle-market companies, as well as high net worth individuals, family offices, not-for-profit organizations, and entrepreneurial ventures across various industries. We also collaborate with attorneys, financial professionals, bankers, and investors who serve these clients.\nEisnerAmper is proud to be a merit-based employer. We do not discriminate based on veteran or disability or any protected characteristics under federal, state, or local law.\nIf you require any accommodations to complete your application, please contact: \nPreferred Location:\nIselin","description_format":"text","description_chars":5763,"description_truncated":false,"requirements":{"experience_years_min":3,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["Retirement plans"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Cybersecurity","Financial Services","Health Care"],"lifecycle":[{"event":"open","at":"2026-10-09T21:09:51Z"}],"visa":[{"country":"US","licensed_sponsor":true,"evidence":"H-1B filings in 12 months: 2","filings_12m":2,"filings_prev_12m":0,"green_card_filings_12m":0,"median_offered_wage_usd":197500,"route":null,"cap_exempt":false,"checked_at":"2026-10-03T21:08:04+00:00","sources":["US Department of Labor: LCA disclosure data (H-1B, H-1B1, E-3)"],"filings_for_role_12m":0}],"liveness":{"score":63,"band":"ok","label":"Likely open","p_open":1,"p_active":0.632,"p_room":1,"age_days":0,"expected_fill_days":47,"reasons":["conf:4","stale_co","velocity","win:early","comp:brand"],"computed_at":"2026-10-10T05:45:15Z"},"pay":null,"html_url":"https://alion.io/job/eisneramper-compliance-associate","json_url":"https://alion.io/job/eisneramper-compliance-associate.json","meta":{"generated_at":"2026-10-11T21:09:23Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":9794,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-10-12T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":1792477},"rest":"https://alion.io/mcp/rest/get_company?id=1792477"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Feisneramper-compliance-associate"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Feisneramper-compliance-associate"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Feisneramper-compliance-associate"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/eisneramper-compliance-associate\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Feisneramper-compliance-associate"}]}