13 Jobs in New York, NY
The Goodkind Group is Hiring a Compliance Associate Near New York, NY
Excellent opportunity with a great organization in the NYC area. This role will primarily assist with the compliance program in managing legal, regulatory and compliance risks associated with the Asset Management business. Additionally, you will work collaboratively with the global compliance team on other related compliance issues at the organization.
RESPONSIBILITIES INCLUDE:
· Maintain and update compliance policies and procedures related to the asset management activities within the organization.
· Review various regulatory filings, including those with the SEC, National Futures Association, and other global regulatory agencies.
· Deal with KYC and AML / ATF / sanctions procedures when needed
· Maintain and update controls designed to achieve compliance with various Capital Partners offering documents as determined by the legal team of Capital Partners
· Maintain and update compliance requirements arising from relevant global regulators applicable to the business
· Monitor new legal and regulatory developments, assess applicable risk and update policies and procedures.
· Conduct risk assessments; recommend risk mitigation techniques and control
· Maintain the required compliance and corporate records
· Respond to any regulatory inquiries
QUALIFICATIONS, SKILLS & EXPERIENCE:
· BS/BA degree in Business or related field required
· 2-5 years of experience in a compliance function for Registered Investment Adviser (RIA)
· Some knowledge of securities laws that relate to investment advisers (e.g., Investment Advisers Act, Investment Company Act, Securities Act, Commodities Exchange Act)
· Ability to perform in a team-oriented, collaborative business environment
· Excellent communication skills; Strong attention to detail
Job Summary
Full Time
Durable Manufacturing
$101k-127k (estimate)
06/27/2024
07/25/2024
thegoodkindgroup.com
NEW YORK, NY
100 - 200
1991
JONATHAN TELLER
$10M - $50M
Durable Manufacturing
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About The Goodkind Group
Founded in 1991, The Goodkind Group is a full-service recruitment consulting firm. Our staff has been carefully selected to include both industry experts and well connected, seasoned recruitment professionals. We provide permanent and temporary search services in various sectors including: Information Technology Accounting & Finance Digital Media Marketing Human Resources Financial Services Administrative Support Legal Services Our team is committed to delivering customized solutions and programs to our clients. With On-Site Programs and Sourcing Models, our services go beyond standard ...
staffing solutions. Our General Consulting Services provide assistance in the areas of Compensation Design and Development, Employee Opinion Surveys, Employment Policies and Practices, Performance Management, Regulatory and Compliance Issues, and Succession Planning.
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The job skills required for Compliance Associate include AML, Attention to Detail, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Associate job description and responsibilities
Compliance officers organize regular training sessions for employees to communicate key regulatory changes and updates.
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Perform other compliance-related responsibilities and special projects as needed.
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They perceive the compliance risks and regulation measures within the business.
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Compliance associate understands the system and be able to establish their system.
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A compliance officer explains and defend their point of view.
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Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Associate jobs
Get Certifications and Continue Learning.
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Look for the Motivation of the Business.
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Proactively Work with Other Business Functions.
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Carefully Evaluate the Security and Compliance Posture of Business Associates.
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To execute the above tasks and to effectuate desired value, the compliance manager must possess a defined set of skills and expertise.
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Step 3: View the best colleges and universities for Compliance Associate.
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