Compliance Associate

Job Description

Job Description

Valeo Financial Advisors is one of the largest RIA firms in the Midwest, with over $10B in assets under management, and is rapidly growing and expanding. We provide comprehensive, independent financial advice to our clients with one simple transparent fee. Based in central Indiana, we are committed to empowering the next generation and revolutionizing the financial services industry. Valeo provides competitive benefits including unlimited PTO, 401(k) with company match, and health coverage.

Position Overview :

The Compliance Associate will assist the Chief Compliance Officer in executing the firm’s compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for helping maintain the firm’s policies and procedures, performing regular compliance reviews, supporting regulatory filings, and assisting with internal education and audits.

The ideal candidate is highly organized, deadline-driven, and has experience working in the compliance department of a financial services firm.

Duties and Responsibilities :

• Support the implementation, testing, and documentation of the firm’s compliance policies and procedures.
• Conduct regular surveillance and forensic testing (e.g., personal trading, email review, advertising / marketing review, code of ethics).
• Maintain compliance calendars and logs to track regulatory filings, attestations, training, and policy review deadlines.
• Monitor marketing materials, social media content, and client communications for regulatory compliance under the SEC Marketing Rule.
• Assist with onboarding / offboarding processes for employees and access persons, including compliance training.
• Support the due diligence process on vendors, custodians, and other third-party service providers.
• Respond to compliance-related questions from team members and help promote a culture of compliance.
• Participate in internal audits and regulatory exams, gathering documentation and preparing responses.
• Stay current with regulatory developments and industry best practices to identify areas of risk or improvement.

Desired Qualifications :

Valeo is an Equal Opportunity Employer. Valeo does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment decisions are based on qualifications, merit, and business need.