Regulatory Compliance Specialist – SEC & Filings

B Capital; Los Angeles (CA); Sur place; USD 90 000 - 110 000; Plein temps

Résumé du poste

B Capital is seeking a detail-oriented Compliance Associate to join our team in California/New York regulatory environment. This role supports the firm's regulatory and compliance activities and ongoing compliance requirements.

The ideal candidate will have 3-5 years of experience in trust administration, compliance, fund administration, or a related field, with exposure to SEC requirements and regulatory filings. Strong writing, research, and organizational skills are essential.

Qualifications

• 3+ years of relevant experience in trust administration, compliance, fund administration, financial services, or related regulatory environment.
• SEC requirements, regulatory filings, or SEC-regulated investment managers exposure preferred.
• Strong attention to detail with accuracy in regulatory documents and records.
• Highly organized with ability to manage multiple deadlines and follow-ups.
• Strong written and verbal communication, coordinating across teams.

Responsabilités

• Work closely with internal stakeholders and external legal and compliance advisors.
• Assist with regulatory filings, registrations, disclosures, and SEC requirements.
• Maintain compliance records, registers, policies, and supporting documentation.
• Track regulatory deadlines and coordinate with stakeholders for timely completion.
• Support ongoing compliance monitoring, testing, reporting, and recordkeeping.
• Assist with preparation and administration of compliance policies and internal documentation.
• Coordinate information requests across Legal, Finance, Operations, and other teams.
• Support onboarding, due diligence, KYC/AML, conflicts, and other administrative processes.
• Liaise with external counsel, compliance consultants, and service providers.
• Identify gaps or inconsistencies in documentation and pursue resolution.
• Provide general administrative and project support to Legal and Compliance as requirements evolve.

Connaissances

Regulatory compliance

SEC requirements

Document management

Interpersonal skills

Research skills

Formation

Bachelor's degree or equivalent qualification in Business, Finance, Law, Accounting, or related discipline

Description du poste

B Capital is seeking a detail-oriented Compliance Associate to join our team in California/New York regulatory environment. This role supports the firm's regulatory and compliance activities and ongoing compliance requirements.

The ideal candidate will have 3-5 years of experience in trust administration, compliance, fund administration, or a related field, with exposure to SEC requirements and regulatory filings. Strong writing, research, and organizational skills are essential.