Compliance associate - management

Job Description

Global Asset Management company NYC branch seeks Compliance Associate & Associate Corporate Secretary to collaborate with the Senior Compliance Officer in implementing and managing the organization’s compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal, regulatory and IT guidelines.

Department: Corporate Operations

Reports To: Senior Compliance Officer

$80K-$100K +bonus

Hybrid 3days in office

9-5, M-F

Essential Duties/Function

• Collaborate with the Senior Compliance Officer in the following:
• Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws and regulations; ensure policy alignment with the regulatory and compliance monitoring function.
• Perform Regulatory and compliance oversight and testing to ensure the adequacy of the compliance programs as they relate to insider trading and other securities-related matters, including e-mail monitoring policies and procedures.
• Implement procedures to address new regulatory rules and requirements; prepare and maintain various regulatory filings.
• Coordinate and prepare responses to Regulatory and/or compliance examinations conducted by internal or external parties.
• Prepare and conduct ongoing Regulatory and compliance training for employees.
• Review and draft various documents and provide general commentary.
• Liaise with relevant external counsel and/or senior management to assess potential risks and plan actions to control or mitigate them.
• Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
• Collaborate with the Corporate Secretary in scheduling and preparation for Board, Compliance Committee and Best Execution meetings (the “Meeting”), preparing the Meeting materials, agendas, and minutes, maintaining corporate governance documents including by-laws and charters, prepare state filings.
• Miscellaneous duties as assigned.
  
  

Experience/Qualifications

• Bachelor’s degree in business administration, Communications, Political Science, Economics or equivalent work experience.
• 1-3 years of corporate work experience preferably in corporate planning or governance, operations, auditing, compliance or related regulatory role; exposure to compliance processes helpful.
• Effectively and concisely identify issues and communicate findings to others.
• Outstanding interpersonal, presentation, and organizational skills, including prioritizing, multi-tasking, and proactively following up to meet defined deadlines.
• Proficient in logical thinking and document analysis, with the ability to extract key insights from complex documents.
• Fluency in English required.
• A flexible team player able to adapt to change.
  
  

To apply, please email your resume to [email protected]