Compliance Associate
Are you seeking an opportunity to contribute to a respected industry leader, in a collaborative environment that values excellence, integrity and professional growth? Consider joining the team at R.M. Davis—with offices in Portland, Maine and Portsmouth, New Hampshire. With over $7 billion in assets under management, R.M. Davis is one of Northern New England’s largest wealth management firms, providing tailored wealth management and related financial services to clients throughout New England and beyond since 1978.
At R.M. Davis, we are committed to providing clients with the guidance and confidence to navigate all relevant financial matters to achieve their goals – ultimately helping them manage the business of life. We are looking for professionals who share this deep sense of responsibility and commitment.
Our headquarters, located in the heart of downtown Portland, offer more than just proximity to Maine’s beautiful coastline. The surrounding neighborhood is vibrant and walkable, filled with dining, shopping, entertainment, and other professional organizations—making it an ideal place to work, live, and thrive. As an active member of the local community, R.M. Davis is committed to supporting the region where we live and work.
the position:
We are hiring a full-time Compliance Associate to join our growing team in Portland, Maine. If you are a self-motivated professional with a detail-oriented mindset, and a passion for working in the financial services industry, apply today!
This individual will work closely with the Chief Compliance Officer to ensure that the firm’s operations comply with all applicable laws, regulations, and internal policies—particularly those related to investment advisory services under SEC and FINRA guidelines.
QUALIFICATIONS:
- Bachelor’s degree in finance, business, or a related field is strongly preferred.
- 1-3 years of prior work experience in a compliance role within a registered investment advisory firm, broker-dealer, or financial services firm is preferred.
- Solid understanding of SEC, FINRA, and other regulatory frameworks governing wealth management firms is preferred.
- Investment Advisor Certified Compliance Professional (IACCP) certification is preferred (or willing to obtain certification within two years of hire).
- Prior experience in performing securities industry compliance-related activities and knowledge of the various compliance policies, procedures, and requirements of an investment management or stock brokerage organization is preferred.
- Excellent organizational, interpersonal, and written and oral communication skills are required.
- Strong attention to detail with the ability to manage tight timeframes and perform multiple and competing tasks efficiently and independently.
KEY RESPONSIBILITIES:
- Assist with the implementation and ongoing maintenance of the firm’s compliance program.
- Conduct all compliance testing and surveillance in accordance with the firm’s annual compliance review calendar.
- Maintain and update compliance policies and procedures to reflect regulatory changes and firm best practices.
- Support the preparation and submission of regulatory filings, including Form ADV and Form U4/U5.
- Assist with regulatory exams, audits, and internal compliance trainings and reviews.
- Provide day-to-day support on general compliance questions and initiatives across the firm.
Benefits:
- Competitive salary and bonus
- 401k plan with employer contributions
- 100% Company-paid employee health insurance and disability insurance
- Paid time off
- Company-paid, parental leave
- Education assistance program
- Company-paid, covered parking
- Professional office setting
- Collaborative work culture
If this sounds like you, please send a cover letter and resume to:
R.M. Davis
Attn: Cathy Girr
24 City Center
Portland, ME 04101
cgirr@rmdavis.com