Compliance Associate

B Capital•New York, NY

1d•$90,000 - $110,000

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. This hands-on role works collaboratively with Legal, Finance, Operations, Investment, and other teams, as well as external legal and compliance advisors and service providers. The successful candidate will manage detailed documentation and administrative processes, communicate clearly, exercise strong follow-through, and be comfortable exploring, testing, and adopting emerging technology platforms, including artificial intelligence.

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.
Ability to manage multiple deadlines, documentation requirements, and follow-ups simultaneously.
Strong written and verbal communication skills and ability to coordinate across teams and levels of seniority.
Collaborative, proactive approach and comfort working in a fast-paced, entrepreneurial environment.
Strong judgment and discretion when 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.
Clear, concise writing and strong research, interpersonal, organizational, and follow-through skills.
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 in 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 closely 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 ensure timely completion.
Support ongoing compliance monitoring, testing, reporting, and recordkeeping.
Assist with the preparation and administration of 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.