Legal and Compliance Associate

Our client is a specialized investment firm. They seek a Legal and Compliance Associate to join their Manhattan, NY office.

If you are interested in applying for this job, please make sure you meet the following requirements as listed below.

Responsibilities

• Prepare regulatory filings and maintain supporting documentation to ensure timely and accurate submissions
• Collaborate with Compliance and Legal teams to support business units on regulatory and policy-related matters
• Review compliance monitoring reports and investigate potential exceptions or control issues
• Assist with the development, implementation, and maintenance of compliance policies and procedures
• Support regulatory examinations, internal audits, and compliance testing activities by gathering documentation and responding to requests
• Conduct research on new and evolving regulatory requirements and communicate relevant updates to internal stakeholders
• Monitor compliance deadlines and maintain tracking logs for recurring regulatory obligations
• Participate in long-term initiatives to enhance compliance processes, controls, and reporting capabilities
• Maintain accurate compliance records, certifications, and regulatory documentation
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Requirements

• Bachelor's degree or higher
• 1-4 years of experience in paralegal work, accounting, financial operations, compliance, or investment management
• Excellent analytical skills
• Excellent written and verbal communication skills
• Project management acumen and a keen eye for detail

JobID: 47478