International Financial Firm is seeking a Junior Compliance Office who can assist Compliance Officer in implementing/managing firm’s compliance program and coordinating legal matters. Instill a culture of compliance in accordance with legal, regulatory, and IT guidelines.
- Assist Compliance Officer in the following:
– Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws and regulations; analyze applicable laws and regulations for impact on 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 respond 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 consultation and/or commentary.
– Liaise with relevant external counsel and senior management to assess legal risks and plan actions to control or minimize such risks.
– Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
- Assist the Corporate Secretary in scheduling and preparation for Board and Compliance Committee 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.
- Bachelor’s degree with a strong academic record required. Preferably in Finance, Law, Business, or Financial Services.
- 2-5 years of Compliance, legal, corporate planning or related experience, preferably at a registered investment adviser, other regulated financial institutions, the SEC, or a regulatory consulting firm.
- General understanding or ability of understanding of Federal Securities Laws, especially the Investment Advisers Act of 1940; ability to comprehend and apply applicable laws and regulations.
- Effectively and concisely identify issues and communicate findings to others.
- Outstanding interpersonal and organizational skills, including prioritizing, multi-task, and proactively following up.
- A flexible team player able to adapt to change.
Base salary up to 95K+bonus