Junior Compliance Officer

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.

  1. 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.
  2. 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.
  3.  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