Legal and Compliance Associate

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