Governance, Risk, and Compliance Associate - Asset Management Consulting

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.ResponsibilitiesEvaluate compliance with internal policies, procedures, and regulatory requirementsAssist in reviewing internal policies, procedures, and regulatory requirements for complianceSupport the implementation and maintenance of compliance programs for asset managers, including institutional clients and registered investment advisersContribute to the development of risk-based audit plans and participate in compliance monitoring and testing activitiesHelp prepare and maintain regulatory filings (e.g., Forms ADV, 13F, 13H) and adviser registrationsDraft audit findings and assist in preparing reports for management reviewParticipate in mock regulatory examinations and related preparation activitiesHelp enforce the firm’s Code of Ethics and track employee complianceAssist in delivering compliance training and maintaining training recordsSupport the operation of electronic surveillance systems to monitor regulatory complianceMonitor regulatory updates and help adjust internal procedures as neededInterpret investment guidelines to ensure compliance with client mandatesCode and test compliance rules using platforms such as BlackRock AladdinConduct pre-trade and post-trade compliance monitoringOversee investment activities to ensure adherence to regulatory and internal policiesSkillsBachelor's degree in Finance, Business, or a related field1+ year of experience in audit, consulting, or investment management industryStrong analytical and problem-solving skillsFamiliarity with the Investment Advisers Act of 1940Experience with compliance program development and maintenanceUnderstanding of the asset management industry, including SEC regulations, investment operations, and compliance frameworksExcellent research skills and attention to detailAbility to manage multiple projects and shifting prioritiesStrong communication and interpersonal skillsSelf-motivated with a commitment to continuous learningProficiency in Microsoft Office Suite (Word, Excel, Outlook, Teams, PowerPoint)Flexibility to accommodate client or team meetings outside standard hoursMaster's degree in Business, Accounting, or Management Information SystemsExperience with various asset classes, including fixed income, equities, and derivativesBenefitsCompetitive health benefitsMedicalDentalVisionDisabilityLife insurance401(k) planFlexible scheduled time off (STO)Minimum of 56 hours of sick and safe leave11 holidays2 scheduled recharge daysIn-house CPE and learning opportunities through our internal Learning & Development departmentMulti-faceted internal learning program including technical improvement, practice development, management/leadership training, and whole-life growthCompany OverviewWeaver 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 SponsorshipWeaver 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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