Legal and Compliance Associate

Abacus Group, LLC; New York (NY); On-site; USD 65,000 - 90,000; Full time

Job summary

Abacus Group, LLC in Manhattan, NY seeks a Legal and Compliance Associate to join our office. You will prepare regulatory filings and maintain documentation to ensure timely submissions, while collaborating with Compliance and Legal teams on regulatory and policy matters.

You will review monitoring reports, investigate issues, assist with policies, support examinations and audits, and conduct regulatory research to inform stakeholders.

Qualifications

• Bachelor's degree or higher required.
• 1–4 years of experience in paralegal work, accounting, financial operations, compliance, or investment management.
• Excellent analytical skills.
• Excellent written and verbal communication skills.
• Project management acumen with keen attention to detail.

Responsibilities

• Prepare regulatory filings and maintain documentation for timely submissions.
• Collaborate with Compliance and Legal teams on regulatory and policy matters.
• Review compliance monitoring reports and investigate exceptions or control issues.
• Assist with development, implementation, and maintenance of compliance policies and procedures.
• Support regulatory examinations, internal audits, and compliance testing by gathering documentation.

Skills

Analytical skills

Written and verbal communication

Project management

Attention to detail

Regulatory knowledge

Education

Bachelor's degree or higher

Job description

Our client is a specialized investment firm. They seek a Legal and Compliance Associate to join their Manhattan, NY office.

Responsibilities

• Prepare regulatory filings and maintain supporting documentation to ensure timely and accurate submissions
• Collaborate with Compliance and Legal teams to support business units on regulatory and policy-related matters
• Review compliance monitoring reports and investigate potential exceptions or control issues
• Assist with the development, implementation, and maintenance of compliance policies and procedures
• Support regulatory examinations, internal audits, and compliance testing activities by gathering documentation and responding to requests
• Conduct research on new and evolving regulatory requirements and communicate relevant updates to internal stakeholders
• Monitor compliance deadlines and maintain tracking logs for recurring regulatory obligations
• Participate in long-term initiatives to enhance compliance processes, controls, and reporting capabilities
• Maintain accurate compliance records, certifications, and regulatory documentation

Requirements

• Bachelor's degree or higher
• 1-4 years of experience in paralegal work, accounting, financial operations, compliance, or investment management
• Excellent analytical skills
• Excellent written and verbal communication skills
• Project management acumen and a keen eye for detail