Legal Compliance Associate

Somewhere; Bogotá; A distancia; COP 232.072.000 - 309.430.000; Jornada completa

Descripción de la vacante

A compliance-focused organization is seeking a Compliance Associate to ensure clients adhere to regulatory and legal requirements. You will oversee regulatory filings, monitor regulatory changes, and develop compliance policies. The ideal candidate has a Bachelor's degree and 3-5 years of experience in legal or compliance roles. This position is remote and offers a chance to foster ethical practices within the organization.

Formación

• 3-5 years in legal, regulatory compliance, or risk management.
• Strong familiarity with industry-specific guidelines including SEC, FINRA, and CFTC Rules.

Responsabilidades

• Oversee regulatory filings for SEC, FINRA, CFTC registered firms.
• Monitor and interpret changes in legal and regulatory requirements affecting the organization.
• Develop, implement, and update internal compliance policies and procedures.
• Conduct risk assessments to identify potential legal and compliance threats.
• Advise departments and senior leadership on compliance-related matters.
• Coordinate and support internal and external audits and investigations.
• Deliver training programs on legal compliance, ethics, and regulatory changes.
• Liaise with government agencies, regulatory bodies, and external legal counsel.
• Maintain records and prepare reports for compliance activities and risk mitigation.

Conocimientos

Excellent analytical and problem-solving skills

Ability to communicate complex legal concepts in plain language

High attention to detail and organizational skills

Strong ethical compass and decision-making ability

Educación

Bachelor's degree in Accounting, Finance, Law, or related field

Professional certification (e.g., CCEP, LCO)

Descripción del empleo

Job Title: Compliance Associate
Department:
Legal / Risk Management

Location:
Remote

Reports to:
Chief Operating Officer/ Chief Compliance Officer

Job Summary
The Compliance Associate ensures that the Firm's clients comply with all regulatory and legal requirements while promoting ethical practices across business operations. This role is crucial in minimizing legal risk, fostering a culture of integrity, and maintaining corporate governance standards. They will provide assistance to the Chief Compliance Officer through regulatory filings, research, memoranda drafting, supervisory reviews, and other compliance tasks.

Key Responsibilities

• Oversee regulatory filings for SEC, FINRA, CFTC registered firms
• Monitor and interpret changes in legal and regulatory requirements affecting the organization
• Develop, implement, and update internal compliance policies and procedures
• Conduct risk assessments to identify potential legal and compliance threats
• Advise departments and senior leadership on compliance-related matters
• Coordinate and support internal and external audits and investigations
• Deliver training programs on legal compliance, ethics, and regulatory changes
• Liaise with government agencies, regulatory bodies, and external legal counsel
• Maintain records and prepare reports for compliance activities and risk mitigation

Requirements
Qualifications

• Bachelor's degree in Accounting, Finance, Law, or related field
• Professional certification (e.g., CCEP, LCO) is advantageous

Experience:

• 3-5 years in legal, regulatory compliance, or risk management
• Strong familiarity with industry-specific guidelines including SEC, FINRA, and CFTC Rules and regulations including those specific to investment advisors, investment companies, and broker-dealers

Skills:

• Excellent analytical and problem-solving skills
• Ability to communicate complex legal concepts in plain language
• High attention to detail and organizational skills
• Strong ethical compass and decision-making ability