COMPANY OVERVIEW
Our client of asset management subsidiary is seeking a Compliance Associate & Associate Corporate Secretary.
RESPONSIBILITIES
Support the Senior Compliance Officer in developing and maintaining regulatory and compliance frameworks aligned with applicable laws.
Key Responsibilities:
- Assist in drafting and updating compliance policies, procedures, and processes.
- Conduct compliance oversight and testing, including insider trading and email monitoring.
- Implement procedures for new regulations and manage regulatory filings.
- Coordinate responses to internal and external compliance examinations.
- Deliver ongoing compliance training to staff.
- Review and draft documents, providing general commentary.
- Liaise with external counsel and senior management to assess and mitigate risks.
- Perform internal audits and monitor adherence to corporate policies.
- Support the Corporate Secretary with Board and Committee meeting logistics, materials, minutes, and governance documentation.
- Handle state filings and other assigned duties.
REQUIREMENTS
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.
SALARY & Benefits
USD $80K – 100K (DOE)
OTHERS
Work location: New York, NY
* Currently, the office is on a hybrid schedule requiring at least three days in the office per week.
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