Compliance Specialist

TBG | The Bachrach Group

New York (NY)

On-site

USD 115,000 - 140,000

Full time

14 days+

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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

TBG | The Bachrach Group provided pay range

This range is provided by TBG | The Bachrach Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$115,000.00/yr - $140,000.00/yr

We are working with a well-known Financial Services firm that is looking for an Associate of Compliance & Governance to join their team. The ideal candidate has 4+ years of experience and a strong regulatory exposure.

Responsibilities:

Monitor relevant local, state, and federal laws and regulations applicable to the Company, ensuring policies and procedures remain up to date.
Oversee monitoring of social media and manage Corporate Affairs releases to align with broader company compliance.
Review and monitor Compliance Alpha daily, escalating findings to senior leadership as necessary.
Conduct daily regulatory screenings and escape any flagged items to the AVP.
Maintain accurate, up-to-date documentation, policies, and record-keeping processes to ensure transparency and accessibility.
Assist with drafting and preparing meeting materials and memoranda for senior leadership.
Prepare board deck materials for submission to AVP/SVP for presentation.
Present division updates to the senior leadership team.
Support relationship management between internal team and PIF Compliance & Governance teams.
Monitor external engagements, including vendor spend tracking through weekly reports.
Coordinate with Procurement to validate and confirm vendor spend data.