Compliance & Governance Associate - Finance

TBG | The Bachrach Group; New York (NY); On-site; USD 115,000 - 140,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Disability insurance

Paid maternity leave

Paid paternity leave

Job summary

A leading Financial Services firm in New York is seeking an Associate of Compliance & Governance. This role requires 4+ years of experience and strong regulatory exposure. You'll be responsible for monitoring compliance with laws and regulations, overseeing documentation, and supporting senior leadership. Ideal candidates should possess excellent organizational skills and the ability to handle multiple responsibilities efficiently. This full-time position offers a competitive salary range of $115,000.00 to $140,000.00 annually, along with comprehensive benefits including medical, vision, and 401(k).

Qualifications

• 4+ years of experience in Compliance and Governance.
• Strong regulatory exposure.
• Experience in monitoring laws and regulations.

Responsibilities

• Monitor local, state, and federal laws, updating policies accordingly.
• Oversee social media monitoring and manage compliance releases.
• Review Compliance Alpha daily and escalate findings.
• Conduct regulatory screenings and address flagged items.
• Maintain documentation and record-keeping processes.
• Draft materials for senior leadership meetings.
• Prepare board deck materials for presentations.
• Present updates to senior leadership.
• Support internal team and compliance team relationships.
• Monitor vendor spending through weekly reports.
• Coordinate with Procurement on vendor data.

Job description

A leading Financial Services firm in New York is seeking an Associate of Compliance & Governance. This role requires 4+ years of experience and strong regulatory exposure. You'll be responsible for monitoring compliance with laws and regulations, overseeing documentation, and supporting senior leadership. Ideal candidates should possess excellent organizational skills and the ability to handle multiple responsibilities efficiently. This full-time position offers a competitive salary range of $115,000.00 to $140,000.00 annually, along with comprehensive benefits including medical, vision, and 401(k).