abacus groupBrooklyn, NY
Legal and Compliance Associate
Legal and Compliance Associate
Legal and Compliance Associate
abacus groupBrooklyn, NY
3 days ago
Offices of LawyersMiscellaneous Financial Investment ActivitiesPortfolio Management and Investment Advice
Apply for this role →Our client is a specialized investment firm. They seek a Legal and Compliance Associate to join their Manhattan, NY office.
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
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
Also on the board Same function, level within a rung
Level
Mid
Location
Brooklyn, NY
Occupation
Compliance Managers
Industry
Offices of Lawyers
Posted
3 days ago