Compliance Associate

Overview

• Support the Senior Compliance Officer in managing and implementing compliance programs and legal coordination within the organization.
• Contribute to instilling a culture of compliance aligned with legal, regulatory, and IT guidelines.
• Assist in developing and maintaining regulatory and compliance policies, procedures, and processes.
• Perform compliance oversight and testing related to insider trading and securities matters.
• Coordinate responses to regulatory examinations and prepare regulatory filings.
• Conduct ongoing compliance training sessions for employees and review documentation.
• Collaborate with the Corporate Secretary on governance and meeting preparations.
• Maintain corporate governance documents and prepare state filings as needed.
• Adapt to miscellaneous duties and responsibilities assigned by management.

Key Responsibilities & Duties

• Develop and align compliance policies with regulatory requirements and monitoring functions.
• Implement procedures addressing new regulatory rules and maintain compliance documentation.
• Prepare responses to internal and external compliance examinations.
• Conduct internal audits and surveillance to ensure adherence to corporate regulations.
• Draft and review documents, providing commentary and insights.
• Schedule and prepare materials for board and committee meetings.
• Maintain corporate governance documents, including by-laws and charters.
• Prepare and file state documentation as required.
• Collaborate with external counsel and senior management on risk assessment and mitigation strategies.

Job Requirements

• Bachelor’s degree in Business Administration, Communications, Political Science, Economics, or equivalent experience.
• 1–3 years of corporate experience in planning, governance, auditing, compliance, or regulatory roles.
• Strong analytical skills for document review and extracting key insights.
• Excellent interpersonal, presentation, and organizational skills for multitasking and meeting deadlines.
• Fluency in English and adaptability to changing work requirements.
• Proficiency in regulatory and compliance oversight processes.
• Ability to conduct training sessions and liaise with external counsel effectively.
• Experience in corporate governance documentation and meeting preparation.
• Flexible team player with proactive follow-up skills to ensure compliance.