Regulatory Operations Associate

New York, NY

Summary

Our client seeks a proactive and detail-oriented regulatory operations associate to join its Legal & Compliance team. In collaboration with professionals across a wide range of investing and non-investing groups, you will assist with various aspects of the firm’s regulatory compliance activities. This position offers exposure to a wide array of the firm’s operations, and an opportunity to make key contributions to a variety of new and ongoing regulatory initiatives in an inclusive, collaborative, and engaging working environment.

Responsibilities

You will play an important role in driving the firm’s understanding and implementation of regulatory requirements across a variety of areas, including cybersecurity, privacy, investment advisory compliance, and regulatory reporting. You will conduct periodic reviews of the firm’s compliance controls, including by preparing risk assessments, identifying enhancements, and drafting reports. You will also coordinate and advance projects to enhance the technology and processes used for compliance monitoring and reporting.

Qualifications

• Candidates should have a bachelor’s degree and four to seven years of experience in a regulatory compliance, financial operations, or internal audit role, preferably in a financial or professional services context.
• Knowledge of financial markets, including an understanding of financial securities and industry regulations is essential. An understanding of data privacy and cybersecurity in a financial services context is a plus, as is an understanding of how to implement business controls, processes, or systems.
• Excellent interpersonal, analytical, and project management skills are required, as is the ability to effectively communicate new or complex concepts or regulatory requirements to a variety of stakeholders. Candidates should be able to bring clarity to projects, including by defining goals and success metrics, directing scope and timelines, and identifying and managing impediments.
• Candidates should be highly motivated, have a consistent record of taking initiative, and have an ability to work collaboratively with cross-functional teams.
• Well-developed problem-solving skills and the ability to think creatively and strategically are also essential.

Compensation

The expected annual base salary for this position is $110,000 to $160,000. Our client’s compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, a sign-on bonus, and benefits including medical and prescription drug coverage, 401k contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.

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