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BasePoint Group Inc. · 4 weeks ago

Compliance Associate

NYC Metro Area

Full-time

Hybrid

Entry, Mid Level

$115K/yr - $120K/yr

1+ years exp

BasePoint Group Inc. is seeking a Compliance Associate to support their Capital Compliance function. The role involves assisting with due diligence, ongoing monitoring of commercial counterparties, and ensuring compliance with laws and regulations.

BankingBusiness DevelopmentFinancial ServicesLendingVenture Capital

H1B Sponsor Likely

Hiring Manager

Vanessa Negrón Medina, CCRH

Responsibilities

Assist with the initial due diligence and onboarding process for new commercial counterparties, ensuring all documentation is complete, accurate, and complies with regulatory requirements and company policies

Assist with monitoring the ongoing compliance of commercial counterparties with certain relevant laws and regulations, as applicable

Assist with performing compliance reviews of commercial counterparty calculations to ensure ongoing adherence to both regulatory requirements and BasePoint policies

Assist with performing various checks and clearing various alerts in relation to counterparties

Take close direction from the CCO, SVP and VP of Compliance regarding regulatory changes and industry standards impacting commercial and consumer lending

Assist with numerous special projects as needed

Qualification

Compliance knowledgeRisk managementAttention to detailMicrosoft Office SuiteProject managementInterpersonal skillsCommunication skillsIndependent work

Required

1-4 years of relevant work experience in compliance, risk management, audit or focus on detailed monitoring

Proven experience in assisting Management in various projects including performing specialized calculations

Strong organizational and project management skills, with a high level of attention to detail and the ability to manage multiple priorities

Demonstrated ability to establish and maintain a culture of compliance, ensuring that borrowers meet regulatory and internal policy requirements

Excellent interpersonal and communication skills, with the ability to effectively interact with various levels of employees

Proficiency in Microsoft Office Suite (Outlook, Word, Excel) and ability to learn new compliance software and risk management tools

Ability to work independently with a proactive approach to identifying and mitigating compliance issues

Preferred

Knowledge of regulatory industry requirements such as Anti-Money Laundering regulations preferred but not required

Company

BasePoint Group Inc.

BasePoint Group Inc. is a U.S.-based specialty finance group based in New York, New York.

Founded in 2009

New York, New York, USA

51-200 employees

https://basepointcapital.com

H1B Sponsorship

BasePoint Group Inc. has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

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2024 (1)