Job Description
Location: Midtown Manhattan (Hybrid)
Compensation: $120K - $150K + Bonus
Responsibilities
- Assist in the administration of the firm's compliance framework, including oversight of Code of Ethics requirements and employee certification processes
- Prepare and support regulatory reporting obligations while ensuring compliance documentation is accurately maintained
- Evaluate marketing and investor communications to ensure adherence to SEC regulations and internal compliance standards
- Support compliance testing initiatives, internal assessments, and mock examinations designed to evaluate the effectiveness of controls
- Monitor regulatory changes, analyze their impact on the organization, and help implement necessary policy and procedural updates
- Maintain and organize legal agreements, contracts, and supporting documentation
- Collaborate with...