Industry:
Location: New York, NY
Salary: $80K-$100K (DOE)
Visa Sponsor: No
Language: English: Business Level
Detail: Japanese International Asset management company seeks a Compliance Associate & Associate Corporate Secretary-NYC New York.
Job Title: Compliance Associate & Associate Corporate Secretary
Department: Corporate Operations
Reports To: Senior Compliance Officer
Location: Manhattan, New York
Employment Type: Local Full-Time/ Exempt
Hybrid: Currently, the office is on a hybrid schedule requiring at least three days in the office per week. All candidates must be flexible with any work schedules that may be necessary as dictated by business needs.
Saraly: $80,000 - $100,000
*Candidates with expectations above the provided range will not be considered. The salary will be determined based on your experience after the interview process.
Position Summary: Collaborate with the Senior Compliance Officer in implementing and managing the organization’s
compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal,
regulatory and IT guidelines.
Essential Duties/Function:
• Collaborate with the Senior Compliance Officer in the following:
o Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws
and regulations; ensure policy alignment with the regulatory and compliance monitoring function.
o Perform Regulatory and compliance oversight and testing to ensure the adequacy of the compliance
programs as they relate to insider trading and other securities-related matters, including e-mail monitoring
policies and procedures.
o Implement procedures to address new regulatory rules and requirements; prepare and maintain various
regulatory filings.
o Coordinate and prepare responses to Regulatory and/or compliance examinations conducted by internal or
external parties.
o Prepare and conduct ongoing Regulatory and compliance training for employees.
o Review and draft various documents and provide general commentary.
o Liaise with relevant external counsel and/or senior management to assess potential risks and plan actions to
control or mitigate them.
o Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
• Collaborate with the Corporate Secretary in scheduling and preparation for Board,Compliance Committee and
Best Execution meetings (the “Meeting”), preparing the Meeting materials, agendas, and minutes, maintaining
corporate governance documents including by-laws and charters, prepare state filings.
• Miscellaneous duties as assigned.
Experience/Qualifications:
• Bachelor's degree in Business Administration, Communications, Political Science, Economics or equivalent work
experience.
• 1-3 years of corporate work experience preferably in corporate planning or governance, operations, auditing,
compliance or related regulatory role; exposure to compliance processes helpful.
• Effectively and concisely identify issues and communicate findings to others.
• Outstanding interpersonal, presentation, and organizational skills, including prioritizing, multi-tasking, and
proactively following up to meet defined deadlines.
• Proficient in logical thinking and document analysis, with the ability to extract key insights from complex
documents.
• Fluency in English required.
• A flexible team player able to adapt to change.
In addition to a competitive base salary and discretionary bonus eligibility, we offer benefits package which consists of the following:
· Medical, Dental, and Vision Insurance – Premiums for employees are covered at 100% and premiums for dependents are covered at 70% by the company
· 401k match and Money Purchase Plan (fully company-funded)
· Life Insurance and Disability Insurance
· Pre-tax Commuter Benefits
· Up to 6 weeks of Paid Parental Leave
· Tuition Reimbursement
· Current Hybrid Work Arrangements
· Paid Holidays in addition to vacation days, floating days and paid sick time
