Elevate your compliance career at a leading financial services firm. Collaborate on impactful regulatory initiatives and policy development. Thrive in a growth-focused, team-oriented professional environment.
Compliance Associate
in Accounting + Finance PermanentJob Detail
Job Description
Overview
- Support compliance and regulatory processes for a prominent financial services firm, ensuring adherence to industry standards and ethical practices.
- Collaborate with a dedicated compliance team to develop and enhance policies and procedures.
- Engage in audits, filings, and training activities to uphold operational integrity.
- Assist in risk-based testing and reviews to identify and address compliance gaps effectively.
- Maintain accurate records and documentation for compliance-related processes and initiatives.
- Contribute to the firm's commitment to ethical standards and regulatory adherence.
- Work in a collaborative environment that values professional growth and teamwork.
Key Responsibilities & Duties
- Conduct reviews and testing of communications and adherence to ethical codes.
- Complete regulatory filings for domestic and international operations.
- Assist in developing and maintaining compliance manuals and disclosure documents.
- Manage audits, including custody and verification processes, ensuring compliance.
- Facilitate compliance training sessions and support policy enhancement initiatives.
- Review marketing and client reporting materials for regulatory adherence.
- Perform risk-based testing and ad-hoc reviews to strengthen compliance frameworks.
- Monitor and respond proactively to regulatory changes affecting operations.
Job Requirements
- Bachelor’s degree in finance, economics, or a related field is required.
- Minimum of 2 years of experience in compliance, preferably within financial services.
- Strong organizational skills with the ability to manage multiple priorities effectively.
- Exceptional analytical skills and attention to detail in problem-solving tasks.
- Effective communication skills, both verbal and written, for professional interactions.
- Demonstrated integrity and commitment to ethical principles in professional conduct.
- Ability to work independently and collaboratively within a team-oriented environment.
- Proficiency in managing compliance audits and preparing regulatory filings.
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