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Specialist, Finance & Compliance

Position: Specialist, Finance & Compliance (hybrid role)

Location: Louisville, KY

Status: Full Time

Reports To: Finance Manager

Position Overview: Are you looking for a position that maximizes your finance, accounting, and/or regulatory compliance experience? Do you have a strong attention to detail and take pride in delivering timely and accurate work products? Are you excited by the idea of working in a dynamic role that interfaces with multiple departments? Is working for an organization that values the unique attributes of each associate and makes firm culture a top priority important to you? If you answered yes to these questions, this position is for you!

The Specialist, Finance & Compliance position is a hybrid role supporting two key operational functions within our firm. The position is responsible for the completion of the firm’s internal financials and accounting functions and for the execution of regulatory and client-related compliance functions including basic testing, reporting, and compliance systems upkeep.

Primary Duties & Responsibilities:

  • Financials
    • Responsible for some of the firm’s accounting functions
    • Responsible for components of annual audit process
    • Contributes to the annual budget process
    • Assists in creating the strategy level income statement
    • Completes the preparation of the Revenue Summary (monthly)
    • Prepares client fees
    • Prepares business management financial reporting/executive reporting
    • Prepares commission payments
    • Completes / leads special projects as assigned
  • Compliance
    • Prepares and assists with testing of compliance policies and procedures and code of ethics
    • Completes marketing collateral reviews
    • Responsible for monitoring client restrictions
    • Responsible for regulatory filings
    • Completes special projects as assigned

Desired Experiences & Qualifications:

  • Working knowledge of the asset management industry
  • Strong knowledge of Accounting & Finance and/or Regulatory Compliance Principles
  • Experience working with, and ability to quickly learn, accounting and / or compliance technology applications
  • Experience working with efficiency-related technologies in order to oversee processes and/or create new processes
  • Strong knowledge of Microsoft Excel
  • Coding experience in VBA, Python, RPA, or SAS preferred
  • Strong organization skills
  • Extraordinary attention to detail
  • Working written communication skills
  • Strong interpersonal and oral communication skills
  • Ability to think critically and enhance processes
  • Ability to prioritize time and tasks independently of manager, and adhere to deadlines
  • Thrives in a dynamic environment


  • Bachelor’s degree required
  • Three years of relevant role or industry experience required
  • CPA preferred


Applicants are asked to include a cover letter with their application.

To apply, please email careers@riverroadam.com

River Road Asset Management is an equal opportunity employer and a drug free workplace.