Compliance Associate

B Capital•New York City, NY

About The Position

B Capital is seeking a detail-oriented and highly organized Compliance Associate to support the firm’s regulatory and compliance activities and ongoing compliance requirements. The role involves working with internal stakeholders and external legal and compliance advisors, maintaining regulatory records and documentation, tracking deadlines, and supporting compliance monitoring and reporting. The associate will coordinate requests and processes across teams, liaise with outside service providers, and provide administrative and project support to the Legal and Compliance function. This is a hands-on role requiring strong follow-through, clear communication, sound judgment, and collaborative work across Legal, Finance, Operations, Investment, and other teams. B Capital describes itself as a technology-first firm where artificial intelligence is integral to how it works; the successful candidate should be comfortable exploring, testing, and adopting new technology platforms. B Capital invests globally in founders and businesses shaping the future through technology. The firm has more than $12 billion in assets under management, was founded in 2015, and has an integrated global team across nine locations in the U.S. and Asia. Its investments focus primarily on technology, healthcare, and climate, and its value-add platform works with strategic partner The Boston Consulting Group to support entrepreneurs.

Requirements

At least 3 years of relevant experience in trust administration, compliance, fund administration, financial services, or a related regulatory environment.
Strong attention to detail and accuracy when working with regulatory documents, filings, and records.
Highly organized, with the ability to manage multiple deadlines, documentation requirements, and follow-ups simultaneously.
Strong written and verbal communication skills and confidence coordinating across teams and levels of seniority.
Collaborative and proactive, and comfortable working in a fast-paced, entrepreneurial environment.
Strong judgment and discretion in handling confidential and sensitive information.
Comfort with compliance administration and operations, including paperwork, documentation, filing, tracking, and recordkeeping.
Ability to work independently, take ownership of tasks, and follow through with limited supervision.
Bachelor’s degree or equivalent professional qualification in Business, Finance, Law, Accounting, or a related discipline.
Comfort exploring, testing, and adopting new technology platforms.

Nice To Haves

Experience with SEC requirements, regulatory filings, or SEC-regulated investment managers is strongly preferred.
Experience within a trust company, fund administrator, investment manager, professional services firm, or similar financial institution would be beneficial.
Exposure to SEC requirements and regulatory filings.

Responsibilities

Work with internal stakeholders and external legal and compliance advisors.
Assist with regulatory filings, registrations, disclosures, SEC requirements, and requirements of relevant regulatory authorities.
Maintain compliance records, registers, policies, certifications, and supporting documentation, ensuring information is complete, accurate, and up to date through the firm’s platform.
Track regulatory deadlines and filing requirements and coordinate with stakeholders to support timely completion.
Support ongoing compliance monitoring, testing, reporting, and recordkeeping.
Assist with preparing and administering compliance policies, procedures, manuals, and internal documentation.
Coordinate information and documentation requests across Legal, Finance, Operations, Investment, and other internal teams.
Support compliance-related onboarding, due diligence, KYC/AML, conflicts, and other administrative processes as required.
Liaise with external counsel, compliance consultants, administrators, and other service providers on regulatory and compliance matters.
Identify gaps or inconsistencies in documentation and processes and follow through to resolution.
Provide general administrative and project support to the Legal and Compliance function as regulatory requirements evolve.