Senior Compliance Associate
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Job Location:
New York City, NY - USA
Monthly Salary:
Not Disclosed
Posted on:
2 hours ago
Vacancies:
1 Vacancy
Department:
Job Summary
At Third Bridge our Compliance framework is an integral part of our business and we are looking for a Senior Compliance Associate dedicated to Third Bridges Content department to join our Compliance team in New York.
Third Bridge content involves an array of interview formats with industry experts and transcripts of those interactions are made available to our clients through our portal. This is a fast-paced role with a focus on problem solving attention to detail stakeholder engagement and results to ensure that our market-leading content is compliant with legislative and regulatory requirements as well as with our internal policies. As part of the second-line of defense your judgment directly protects the integrity of our global platform.
Responsibilities
- Lead a team of compliance associates managing team workflows and serving as a primary escalation point
- Ensure team performance including monitoring work quality addressing compliance errors or issues and providing guidance and feedback
- Lead team training and work to continuously improve the hiring and onboarding process for new team members based on business needs.
- Identify and escalate complex compliance issues with a focus on identifying non-public information or otherwise inappropriate content.
- Serve as a compliance contact for stakeholders to resolve escalations
- Aid in developing internal guidance and external resources with high autonomy.
- Identify operational gaps and lead special projects as and when needed.
- Implement client compliance and engage clients compliance teams as and when needed.
Qualifications :
- Experience: Previous compliance experience within financial services and client-facing experience is highly desirable.
- Education: Bachelors Degree or relevant professional experience within a compliance function.
- Expertise: Ability to understand and interpret complex financial concepts and appreciate underlying risks in expert interactions.
- Communication: Excellent oral and written English; ability to develop strong working relationships across all global offices. Client-facing communication skills are highly desirable.
- Execution: Proven ability to manage competing priorities between daily BAU work and high-impact special projects.
Additional Information :
We truly care about our people so in return for your work youll get:
- Salary: $95000 $115000 USD per year plus Annual Performance Bonus.
Final compensation will be determined based on several factors including the candidates relevant experience specific skill sets certifications and internal equity. - Vacation: 15 days (which increases to 20 days after 2 years of service) plus US Holidays
- Learning: personal development allowance of $1150 per year.
- Health and wellbeing: a variety of insurance plans including health coverage by Empire Blue Cross Blue Shield.
- Medical Insurance Dental insurance and Vision plan plus a personal HSA (Health Saving Account) and Medical FSA (Flexible Spending Account). And also a variety of health and wellbeing events to focus on mental health.
- Future and family: 401K matching up to 5% of your base salary life insurance a long-term disability policy dependent care FSA and pet insurance.
- Flexibility: work from anywhere for one month per year 2 annual volunteer days 2 personal days when life throws you a curveball and Summer Fridays
- Rewards: get points through our colleague-to-colleague recognition programme to spend on hotels gift cards donations to charity and more.
- Social: weekly optional social gatherings daily breakfast and snacks social events - ESG: CSR Environment and Diversity & Inclusion (including Women at Third Bridge Pride and Blkbridge)
- Frontline Innovation: your chance to share your ideas for improvement through Hackathons and other events
The successful candidate must by the start of the employment have permission to work in the country they are applying.
We know that to be truly innovative we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal opportunity employer. If you are not 100% sure if you are right for the role please apply anyway and we will be happy to consider your application.
Remote Work :
No
Employment Type :
Full-time
Key Skills
About Company
Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world’s top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is ... View more
