Compliance Specialist at Jobot
Conshohocken, PA 19428
About the Job
Large Financial Group seeks Compliance Specialist - WFH Flexibility - High Comp Package - Amazing Company
This Jobot Job is hosted by: Kevin Ross
Are you a fit? Easy Apply now by clicking the "Quick Apply" button
and sending us your resume.
Salary: $75,000 - $110,000 per year
A bit about us:
A leading private equity firm with a strong track record of successful investments and portfolio management. Firm is committed to maintaining the highest standards of compliance and regulatory adherence across all our operations. We are seeking a dedicated and detail-oriented Compliance Specialist to join our team and ensure our activities meet all relevant legal and regulatory requirements.
Why join us?
Medical
Dental
Vision
401k
PTO
WFH Flexibility
Bonus
Job Details
The Compliance Specialist will play a critical role in ensuring that the firm adheres to all applicable laws, regulations, and internal policies. This role involves monitoring and evaluating the firm's compliance programs, developing and implementing compliance strategies, and providing guidance and training to staff. The Compliance Specialist will work closely with various departments to identify and mitigate compliance risks, ensuring that our operations remain transparent and ethical.
Responsibilities:
Adhere to, implement, and oversee compliance policies and procedures to ensure the firm adheres to all relevant laws and regulations.
Monitor and assess the effectiveness of existing compliance programs and recommend improvements.
Conduct regular compliance audits and risk assessments to identify potential issues and ensure corrective actions are implemented promptly.
Provide ongoing training and support to employees on compliance-related topics, including regulatory changes and internal policies.
Serve as a point of contact for regulatory authorities and respond to inquiries and examinations.
Investigate and resolve compliance issues or violations, preparing detailed reports and recommending corrective actions.
Stay updated on changes in laws and regulations that may affect the firm’s operations and advise management accordingly.
Collaborate with legal, finance, and operations teams to ensure compliance with all regulatory requirements.
Prepare and submit required regulatory filings and documentation accurately and on time.
Maintain records of compliance activities and create reports for senior management and the board of directors.
Qualifications:
Bachelor’s degree in Law, Finance, Business Administration, or a related field. A master’s degree or relevant certification (e.g., Certified Regulatory Compliance Manager, Certified Compliance and Ethics Professional) is preferred.
Minimum of 3-5 years of experience in compliance, preferably within the private equity or financial services industry.
In-depth knowledge of relevant regulations and standards, including SEC, FINRA, and other applicable regulatory bodies.
Strong analytical skills with the ability to identify and mitigate compliance risks.
Excellent written and verbal communication skills.
Ability to work independently and collaboratively within a team environment.
High level of integrity and ethical judgment.
Proficiency in compliance software and tools is an advantage.
Interested in hearing more? Easy Apply now by clicking the "Quick Apply" button.
This Jobot Job is hosted by: Kevin Ross
Are you a fit? Easy Apply now by clicking the "Quick Apply" button
and sending us your resume.
Salary: $75,000 - $110,000 per year
A bit about us:
A leading private equity firm with a strong track record of successful investments and portfolio management. Firm is committed to maintaining the highest standards of compliance and regulatory adherence across all our operations. We are seeking a dedicated and detail-oriented Compliance Specialist to join our team and ensure our activities meet all relevant legal and regulatory requirements.
Why join us?
Medical
Dental
Vision
401k
PTO
WFH Flexibility
Bonus
Job Details
The Compliance Specialist will play a critical role in ensuring that the firm adheres to all applicable laws, regulations, and internal policies. This role involves monitoring and evaluating the firm's compliance programs, developing and implementing compliance strategies, and providing guidance and training to staff. The Compliance Specialist will work closely with various departments to identify and mitigate compliance risks, ensuring that our operations remain transparent and ethical.
Responsibilities:
Adhere to, implement, and oversee compliance policies and procedures to ensure the firm adheres to all relevant laws and regulations.
Monitor and assess the effectiveness of existing compliance programs and recommend improvements.
Conduct regular compliance audits and risk assessments to identify potential issues and ensure corrective actions are implemented promptly.
Provide ongoing training and support to employees on compliance-related topics, including regulatory changes and internal policies.
Serve as a point of contact for regulatory authorities and respond to inquiries and examinations.
Investigate and resolve compliance issues or violations, preparing detailed reports and recommending corrective actions.
Stay updated on changes in laws and regulations that may affect the firm’s operations and advise management accordingly.
Collaborate with legal, finance, and operations teams to ensure compliance with all regulatory requirements.
Prepare and submit required regulatory filings and documentation accurately and on time.
Maintain records of compliance activities and create reports for senior management and the board of directors.
Qualifications:
Bachelor’s degree in Law, Finance, Business Administration, or a related field. A master’s degree or relevant certification (e.g., Certified Regulatory Compliance Manager, Certified Compliance and Ethics Professional) is preferred.
Minimum of 3-5 years of experience in compliance, preferably within the private equity or financial services industry.
In-depth knowledge of relevant regulations and standards, including SEC, FINRA, and other applicable regulatory bodies.
Strong analytical skills with the ability to identify and mitigate compliance risks.
Excellent written and verbal communication skills.
Ability to work independently and collaboratively within a team environment.
High level of integrity and ethical judgment.
Proficiency in compliance software and tools is an advantage.
Interested in hearing more? Easy Apply now by clicking the "Quick Apply" button.
Salary
75,000 - 110,000 /year