Compliance Associate

Compliance Associate

Essential Duties/Function:

Collaborate with the Senior Compliance Officer in the following:
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.
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.
Implement procedures to address new regulatory rules and requirements.
Coordinate and prepare responses to Regulatory and compliance examinations.
Prepare and conduct ongoing Regulatory and compliance training for employees.
Review and draft various documents and provide general commentary.
Liaise with relevant external counsel and/or senior management to assess potential risks.
Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
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.