Job Description

Location: Midtown Manhattan

Compensation: $130k-$170k + Bonus

Responsibilities:

Oversee employee personal trade reviews, certifications, and gift/entertainment requests.
Assist with preparation and submission of filings, including foreign ownership disclosures.
Facilitate compliance training for employees and ensure seamless onboarding for new hires.
Approve, log, and monitor expert network calls to maintain compliance standards.
Research, resolve, and escalate compliance issues with actionable recommendations.
Serve as a point of contact for third party service provider due diligence
Facilitate AML/KYC due diligence, screening, and reporting, ensuring adherence to all relevant laws and regulations.
Monitor emerging and evolving regulatory requirements related to Environmental, Social, and Governance (ESG) and other relevant sustainability or impact-related disclosures

Qualifications:

2-6 years of experience in in-house legal and/or compliance department
Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of financial industry compliance programs
Strong time management, planning and organizational skills.
Ability to work independently but also collaborate in a team-oriented, cross functional and fast paced environment.
Strong communication skills.

#44181

Job Tags

Similar Jobs

Bank of America

Vice President - Leveraged Finance Capital Markets (New York) Job at Bank of America

...Capital Markets and Origination team members as well as Investment Banking, Legal (both internal & external), Compliance, Technology,... ...of various financial products ~ Knowledge of DTC, Middle & Back Office Background. ~ Excel skills required, PowerPoint / Word proficiency...

DSJ Global

Logistics Manager Job at DSJ Global

...The Logistics Manager for the Americas region is responsible for overseeing logistics operations across the supply chain, focusing on the movement of goods from production facilities to customers, as well as managing international imports and exports. This role also includes...

City of Albany, OR

Library Assistant Job at City of Albany, OR

Library Assistant Location Albany, OR : General Description The City of Albany Public Library is hiring a Library Assistant (24 hours/ per week). This position performs a variety of library duties of a para-professional or routine nature including providing information...

Norwegian Cruise Line Holdings Ltd.

Release Manager Job at Norwegian Cruise Line Holdings Ltd.

Get AI-powered advice on this job and more exclusive features.JOB SUMMARY: Responsible for the Proxima program release management strategy which includes the planning, development, coordination, and publication of the program release schedule. Act as the central point...

PAREXEL

Clinical Research Associate II/Senior Clinical Research Associate (CRA)- Southea Job at PAREXEL

Your time hereAt Parexel, the CRA role offers the opportunity to go beyond the role of a typical clinical monitor. CRA's are accountable... .... Employment is contingent on disclosure of your COVID-19 vaccination status and, if relevant, proof of vaccination.#LI-REMOTE PAREXEL

Compliance Associate Job at Atlantic Group, New York, NY

TzJnd1lqelB0S1Q2dzJ5Q3BnSUxPaEo0M1E9PQ==