Legal and Compliance Manager
2 days ago
Job Summary
Bell Partners Inc. is seeking a highly skilled Legal and Compliance Manager to join our team. As a key member of our Legal and Risk Management team, you will be responsible for assisting the Chief Compliance Officer in maintaining an effective legal, risk, and compliance program.
Key Responsibilities
- Assist the Chief Compliance Officer in maintaining an effective compliance program that manages and mitigates risk through the design, implementation, and testing of policies, procedures, and best practices.
- Maintain a compliance calendar, monitor progress of compliance initiatives and requirements, prepare reports as necessary, and participate in annual review of compliance program.
- Support vendor due diligence through the preparation and distribution of operational due diligence questionnaires.
- Exercise effective communication and promote positive relationships with compliance team members and business partners.
- Conduct research on regulatory developments and assist in updating compliance materials accordingly.
- Prepare reports for the Chief Compliance Officer and internal management.
- Collaborate with various departments on compliance initiatives and to ensure adherence with compliance standards.
- Maintain compliance monitoring and reporting systems, including the personal trading and certifications system, restricted trading list, and others (ComplySci).
- Support key operations risk initiatives, including privacy policy, rent control, utilities, and others.
- Assist other attorneys in subpoena, records requests, and other legal process management and response.
- Support other attorneys in defining, developing, and implementing strategic operational legal department initiatives.
- Manage the Company's regulatory license management processes, including collaborating to obtain information and adhere to scheduled reporting requirements.
- Manage the Company's process for compliance with the Corporate Transparency Act.
- Analyze contract requirements, special provisions, terms, and conditions to ensure compliance with appropriate laws, regulations, and Bell Partners' policies and procedures.
- Manage contract administration system.
- Provide objective, independent advice to ensure validity, legality, and goal achievement.
Requirements
- BA/BS in business or related field required, JD preferred.
- Three to five years of experience in Legal, Compliance, and Risk management.
- Able to analyze problems and strategize for better solutions.
- Understanding of Risk Management.
- Business maturity and acumen.
- Able to multitask, prioritize, and manage time efficiently.
- Organized and able to track multiple processes simultaneously.
- Excellent verbal and written communication skills.
- Can demonstrate a positive attitude and eagerness to tackle the job and has a collaborative approach to working with others.
Bell Partners Inc. is an Equal Opportunity Employer
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