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Compliance Analyst
| Company | BBR Partners |
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| Location | New York, NY, USA |
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| Salary | $70000 – $85000 |
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| Type | Full-Time |
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| Degrees | Bachelor’s |
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| Experience Level | Junior |
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Requirements
- An undergraduate degree in Finance, Business Administration or a related field with a strong academic track record is preferred.
- Demonstrated interest or 1-2 years of experience in compliance, preferably in the financial industry.
- Ability to learn industry regulations and standards.
- Exceptional attention to detail and excellent problem-solving skills.
- Ability to act autonomously, and approach work with a learning mindset.
- Excellent communication and collaboration skills.
- Comfortability with MS Office Suite, including Excel.
Responsibilities
- Assist in the development, implementation, and management of compliance programs designed to keep the company compliant with all regulatory requirements.
- Coordinate with VP and CCO to review and update company policies and procedures in line with the latest financial regulations.
- Help conduct internal reviews and audits to verify that compliance procedures are followed.
- Prepare comprehensive reports detailing compliance findings, risk areas, and propose action plans to mitigate risks.
- Stay abreast of all local, state, and federal regulations as well as industry trends that could impact the business’s compliance protocols.
- Assist in compliance-related training sessions and workshops to inform all employees of their compliance obligations.
- Collaborate with cross-functional teams to foster company-wide understanding and adherence to compliance protocols.
- Participate in or lead special projects as assigned, such as creating new internal processes or analyzing specific regulatory changes’ impact on business operations.
- Respond to compliance inquiries from within the company and proactively identify potential compliance issues.
- Track, log, and verify completion of actions taken to resolve compliance issues.
- Verify that any compliance-related incidents or breaches are properly documented, investigated, and reported in a timely manner.
- Assist with review and approval of marketing materials and external communications for regulatory compliance.
Preferred Qualifications
- An undergraduate degree in Finance, Business Administration or a related field with a strong academic track record is preferred.
- Demonstrated interest or 1-2 years of experience in compliance, preferably in the financial industry.
