PR/087005 | Compliance Associate & Associate Corporate Secretary

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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