Compliance Specialist

TBG | The Bachrach Group; New York (NY); On-site; USD 70,000 - 90,000; Full time

Job summary

A prominent consulting firm in New York is seeking a Compliance Specialist responsible for identifying and monitoring regulatory compliance with U.S. laws. The role includes drafting policies, maintaining compliance documentation, and training staff on compliance practices. An ideal candidate will have strong communication skills, sound ethical judgment, and the ability to manage multiple projects in a fast-paced environment. Expertise in compliance systems and experience mentoring junior staff are essential. This position promotes a culture of trust and collaboration.

Qualifications

• Experience with compliance systems and regulatory environments.
• Ability to draft and maintain policies and procedures.
• Proven record in compliance training development.

Responsibilities

• Identify and monitor U.S. regulatory compliance.
• Draft and maintain relevant company policies.
• Develop and maintain compliance training programs.

Skills

Regulatory compliance knowledge

Excellent communication skills

Ethical judgment

Time management

Interpersonal skills

Tools

Compliance Alpha

SAI360

World Check

MS Office suite

Adobe Acrobat

Job description

• Regulatory Compliance: Identify and monitor relevant U.S. laws and regulations, staying up to date with any changes. Prepare and present comprehensive regulatory reports including an assessment of applicability, recommendations and action plans.
• Policies & Procedures: Draft and maintain company policies and procedures in accordance with regulatory requirements and business needs.
• Documentation and Record Keeping: Monitor and oversee company recordkeeping requirements in accordance with all applicable regulatory requirements.
• Compliance Training: Develop and maintain ongoing compliance training program, including day‑one training for new hires and ongoing regular training across the organization.
• Conflicts of Interest: Serve as the primary administrator on the company’s compliance management platform, reviewing and assessing real and potential conflicts of interest and providing timely responses to employee requests.
• Culture and Collaboration: Partner with key stakeholders across the company, contributing to a culture of trust and collaboration.
• Senior Management: Prepare presentations and memoranda for the senior management team; Exceptional time‑management skills and the ability to prioritize multiple projects while meeting deadlines.
• Proactive and able to anticipate needs before they arise, offering guidance and solutions.
• Appropriate responsiveness, understanding the appropriate urgency to address critical time‑sensitive issues.
• Excellent interpersonal, verbal, and written communication skills with the ability to communicate compliance and governance concepts to a broad range of technical and non‑technical staff.
• Discretion in handling confidential information, ensuring the security of sensitive business and personal data.
• Sound ethical judgment and integrity to navigate challenging situations and make decisions in the best interest of the organization.
• Ability to exercise independent and informed judgment while understanding when to ask for guidance.
• Experience mentoring and coaching junior team members.
• Experience with compliance systems such as Compliance Alpha, SAI360, World Check, among others.
• Proficiency in MS Office suite, Adobe Acrobat.