Compliance Associate | Claremont

The Recruitment Council; Claremont (CA); On-site; USD 60,000 - 80,000; Full time

Job summary

A leading company is seeking a detail-oriented Compliance Associate to support their internal compliance team in Claremont. The role involves preparing compliance documents, maintaining records, and assisting in training programs. Ideal candidates will have 2-3 years of experience in compliance and relevant qualifications.

Qualifications

• 2-3 years of experience in an administrative role focused on FAIS compliance.
• Proficiency in Microsoft Office and other industry-related packages.

Responsibilities

• Assist in the preparation of compliance-related documents and maintain accurate records.
• Develop and implement compliance training programs for employees.

Skills

Organizational skills

Attention to detail

Communication skills

Multitasking

Tech-savvy

Education

Relevant degree or tertiary risk/legal/compliance-related qualification

RE5 qualification

Tools

MS Word

Excel

PowerPoint

Job description

Our client is seeking a detail-oriented and organized Compliance Associate to join their team in Claremont. You will play a crucial role in supporting our internal compliance team, ensuring all compliance activities are carried out accurately and efficiently, and working closely with various departments to maintain legal compliance.

Responsibilities:

1. Support and Record Keeping:
   • Assist in the preparation of compliance-related documents, including policies, procedures, risk assessments, and templates.
   • Maintain accurate records and registers, ensuring accessibility for audits and reviews.
   • Assist in coordinating compliance remediation and projects.
   • Manage commission administration, including logging estimates and actuals on Commpay and Xplan.
2. Research, Training, and Development:
   • Assist in developing and implementing compliance training programs for employees.
   • Conduct research and analysis on compliance-related topics and present findings to the compliance team.

Experience:

• 2-3 years of experience in an administrative role with a specific focus on FAIS compliance.

Qualifications:

• Relevant degree or tertiary risk/legal/compliance-related qualification from a reputable institution.
• RE5 qualification.

Computer Literacy:

• Proficiency in MS Word, Excel, PowerPoint, or other industry-related packages.

Personal Profile and Competencies:

• Strong organizational and multitasking skills.
• Attention to detail and ability to handle complex information.
• Tech-savvy.
• Excellent written and verbal communication skills.
• Ability to maintain confidentiality.