Compliance Associate — SEC Filings & Regulatory Ops

B Capital; New York (NY); Sur place; USD 90 000 - 110 000; Plein temps

Résumé du poste

B Capital is seeking a detail-oriented Compliance Associate to support regulatory and compliance activities across the firm. The ideal candidate will have 3–5 years of experience in trust administration, compliance, fund administration, or related fields with exposure to SEC requirements.

Strong writing, research, and organizational skills are essential to manage documentation and cross-team coordination. The role is hands-on, collaborative, and involves working with Legal, Finance, Operations,

Qualifications

• 3+ years of relevant experience in trust administration, compliance, fund administration, financial services, or related regulatory environment.
• SEC requirements, regulatory filings, or SEC-regulated investment managers experience preferred.
• Bachelor's degree or equivalent professional qualification in Business, Finance, Law, Accounting, or related discipline.

Responsabilités

• Work with internal stakeholders and external legal and compliance advisors.
• Assist regulatory filings, registrations, disclosures, and SEC requirements.
• Maintain compliance records, registers, policies, certifications, and documentation.
• Track regulatory deadlines and coordinate with stakeholders for timely completion.
• Support ongoing compliance monitoring, testing, reporting, and recordkeeping.
• Assist with preparation and administration of compliance policies, procedures, and manuals.
• Coordinate information requests across Legal, Finance, Operations, Investment, and other teams.
• Support onboarding, due diligence, KYC/AML, conflicts, and other processes.
• Liaise with external counsel, compliance consultants, administrators, and service providers.
• Identify gaps in documentation and processes; follow through to resolution.
• Provide general administrative and project support to Legal and Compliance as regulatory requirements evolve.

Connaissances

Attention to detail

Written communication

Organizational skills

Research skills

Collaboration

Formation

Bachelor's degree or equivalent in Business, Finance, Law, Accounting, or related discipline

Description du poste

B Capital is seeking a detail-oriented Compliance Associate to support regulatory and compliance activities across the firm. The ideal candidate will have 3–5 years of experience in trust administration, compliance, fund administration, or related fields with exposure to SEC requirements.

Strong writing, research, and organizational skills are essential to manage documentation and cross-team coordination. The role is hands-on, collaborative, and involves working with Legal, Finance, Operations,