Compliance Associate Jobs

Our Client

• Is a privately-held investment firm that specializes in transforming illiquid assets into valuable liquidity through their various private equity funds.

Responsibilities

• Maintains compliance logs and records on a day-to-day basis.
• Conducts internal reviews to evaluate the effectiveness of compliance procedures and operational controls
• Participates in special projects and reporting initiatives as needed
• Reviews and compiles responses to inquiries from investors and regulatory bodies
• Ensures accurate and timely completion of all regulatory filings
• Contributes to the preparation and delivery of compliance training.
• Supports the establishment and enforcement of compliance policies and procedures, ensuring adherence to regulatory requirements, internal policies, and client guidelines
• Assists in overseeing personal trading activities
• Assists in researching and analyzing various compliance issues and initiatives
• Cultivates and maintains relationships across all levels of the organization
• Collaborates with external compliance consultants and providers
• Utilizes technology to develop key metrics, compile data, and generate reports

Requirements

• At least 2 years of experience working in a compliance, legal, risk or similar role
• Experience in the financial services industry or a regulatory organization is preferred
• University undergraduate degree or relevant certification from a recognized institution
• Across all levels of the organization
• Strong interpersonal and relationship building skills, and can work effectively with multiple stakeholders
• Highly ethical, diplomatic, respectful, organized, flexible, personable, diligent, accountable, and strong attention to detail
• Proven ability to deliver on projects and demonstrated ability to meet strict deadlines by multitasking and prioritizing assigned deliverables under pressure
• Strong critical thinking, analytical and problem-solving skills
• Proficient in Microsoft Office Suite - Microsoft Word, PowerPoint, and Excel
• Excellent verbal and written communications skills