Compliance Associate

1 week ago

Oxford, United States Addicus Full time

Objectives of this role

Addicus is looking for a Compliance Associate to support our compliance program within the Legal Operations team. This role involves coordinating daily compliance activities, handling inquiries and requests, and supporting the development of internal controls and policies.

Responsibilities

  • Coordinate and manage daily activities in the compliance functions.
  • Oversee incoming inquiries and requests for information.
  • Participate in and support other Legal Operations requests and projects, as assigned
  • Support the creation of internal control and operational programs, policies, procedures, and practices.
  • Review and analyze compliance audits.
  • Keep current on laws and regulations that might affect the organization's policies.
  • Participate in departmental meetings regarding operational, policy, and procedure developments and improvements.
  • Coordinate requests with cross-functional management and the Senior Manager of Legal Operations to ensure compliance issues are addressed promptly.
  • Educate and train company managers and staff on industry rules, regulations, and policies.
  • Train staff on particular subjects, such as outside business activities and personal transaction reporting.
  • Assist in coordinating regulatory responses if compliance participation is needed.
  • Oversee the timely production and filing of annual required Security Exchange Commission (SEC) documents.
  • Evaluate and prepare procedural documentation, ongoing monitoring, testing, and remediation.
  • Test the operational effectiveness of critical controls using various approaches, including sampling, corroboration, observation, and re-performance.
  • Conduct audit planning, write audit reports, document audit findings, and make recommendations.
  • Identify and share best control practices across process areas and geographies.
  • Assist with identifying violations and reporting to the supervisory process, including generating and tracking, to be submitted to the Senior Legal Ops Manager and CCO for delivery of disciplinary action.
  • Support Legal Operations projects and tasks as assigned.

Qualifications

  • Bachelor's degree in business, finance, law, or a related field required.
  • Professional Compliance Certification (e.g., Certified Compliance & Ethics Professional (CCEP)) a plus.
  • Broad knowledge and understanding of financial industry regulations, compliance standards, and best practices.
  • Previous legal experience is a plus.
  • Strong analytical and problem-solving skills for assessing compliance risks and developing effective solutions.
  • Ability to process and convey complex regulatory information clearly and understandably.
  • Interpersonal skills for liaising with cross-functional leaders, management, and staff.
  • Proficient in creating and maintaining procedural documentation.
  • Meticulous attention to detail with strong record-keeping skills.
  • Effective time management skills to handle multiple tasks and meet deadlines.
  • High ethical standards and integrity in dealing with sensitive information and matters.
  • Ability to adapt to changes in regulations and organizational priorities.
  • Willingness to engage in continuous learning and professional development.
  • Experience in preparing and submitting regulatory reports accurately and timely.

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