Legal Compliance Associate
Legal Compliance Associate
Posted on :
21-08-2025
Employer Active
1 Vacancy
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Job Description
Job Title: Compliance Associate
Department: Legal / Risk Management
Location: Remote
Reports to: Chief Operating Officer/ Chief Compliance Officer
Job Summary
The Compliance Associate ensures that the Firms clients comply with all regulatory and legal requirements while promoting ethical practices across business operations. This role is crucial in minimizing legal risk fostering a culture of integrity and maintaining corporate governance standards. They will provide assistance to the Chief Compliance Officer through regulatory filings research memoranda drafting supervisory reviews and other compliance tasks.
Key Responsibilities
Qualifications:
Department: Legal / Risk Management
Location: Remote
Reports to: Chief Operating Officer/ Chief Compliance Officer
Job Summary
The Compliance Associate ensures that the Firms clients comply with all regulatory and legal requirements while promoting ethical practices across business operations. This role is crucial in minimizing legal risk fostering a culture of integrity and maintaining corporate governance standards. They will provide assistance to the Chief Compliance Officer through regulatory filings research memoranda drafting supervisory reviews and other compliance tasks.
Key Responsibilities
- Oversee regulatory filings for SEC FINRA CFTC registered firms
- Monitor and interpret changes in legal and regulatory requirements affecting the organization
- Develop implement and update internal compliance policies and procedures
- Conduct risk assessments to identify potential legal and compliance threats
- Advise departments and senior leadership on compliance-related matters
- Coordinate and support internal and external audits and investigations
- Deliver training programs on legal compliance ethics and regulatory changes
- Liaise with government agencies regulatory bodies and external legal counsel
- Maintain records and prepare reports for compliance activities and risk mitigation
Qualifications:
- Bachelors degree in Accounting Finance Law or related field
- Professional certification (e.g. CCEP LCO) is advantageous
- 35 years in legal regulatory compliance or risk management
- Strong familiarity with industry-specific guidelines including SEC FINRA and CFTC Rules and regulations including those specific to investment advisors investment companies and broker-dealers
- Excellent analytical and problem-solving skills
- Ability to communicate complex legal concepts in plain language
- High attention to detail and organizational skills
- Strong ethical compass and decision-making ability
Required Experience:
IC
Employment Type
Full Time
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