Compliance Associate: SEC & Regulatory Specialist

B Capital Group; New York (NY); On-site; USD 90,000 - 110,000; Full time

Job summary

B Capital Group is seeking a detail‑oriented Compliance Associate to support regulatory and compliance activities. The role emphasizes hands‑on duties, precise documentation, and collaboration with Legal, Finance, and Operations across the firm.

The ideal candidate has 3–5 years of related experience, exposure to SEC requirements, and a proven ability to manage multiple deadlines while maintaining accuracy.

Qualifications

• 3+ years of relevant experience in trust administration, compliance, fund administration, financial services, or a related regulatory environment.
• Experience with SEC requirements, regulatory filings, or SEC-regulated investment managers.
• Strong attention to detail and a high degree of accuracy with regulatory documents and records.
• Highly organized with the ability to manage multiple deadlines and follow-ups.
• Strong written and verbal communication skills and ability to coordinate across teams.
• Collaborative and proactive, able to work in a fast-paced environment.
• Bachelor’s degree or equivalent in Business, Finance, Law, or related discipline.

Responsibilities

• Assist with regulatory filings, registrations, disclosures, and SEC requirements.
• Maintain compliance records, policies, compliance documentation, and related records.
• Track regulatory deadlines and coordinate with stakeholders for timely completion.
• Support compliance monitoring, testing, reporting, and record-keeping.
• Prepare and administer compliance policies, procedures, and manuals.
• Coordinate information requests across Legal, Finance, Operations, and Investment teams.
• Support onboarding, due diligence, KYC/AML, and other administrative processes.
• Liaise with external counsel, compliance consultants, and service providers.

Skills

Attention to detail

Written communication

Verbal communication

Organizational skills

Regulatory filings

Education

Bachelor’s degree or equivalent

Job description

B Capital Group is seeking a detail‑oriented Compliance Associate to support regulatory and compliance activities. The role emphasizes hands‑on duties, precise documentation, and collaboration with Legal, Finance, and Operations across the firm.

The ideal candidate has 3–5 years of related experience, exposure to SEC requirements, and a proven ability to manage multiple deadlines while maintaining accuracy.