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TBG | The Bachrach Group · 20 hours ago

Compliance Analyst

NYC Metro Area

Full-time

Onsite

Senior Level, Lead/Staff

$90K/yr - $115K/yr

10+ years exp

TBG | The Bachrach Group is seeking a Compliance Analyst to ensure adherence to regulatory standards and internal policies. The role involves monitoring U.S. laws, drafting policies, overseeing recordkeeping, and developing compliance training programs.

B2BCrowdfundingFinancial ServicesHuman ResourcesInsuranceStaffing Agency

Growth Opportunities

Responsibilities

Regulatory Compliance: Identify and monitor relevant U.S. laws and regulations, staying up to date with any changes. Prepare and present comprehensive regulatory reports including an assessment of applicability, recommendations and action plans

Policies & Procedures: Draft and maintain company policies and procedures in accordance with regulatory requirements and business needs

Documentation and Record Keeping: Monitor and oversee company recordkeeping requirements in accordance with all applicable regulatory requirements

Compliance Training: Develop and maintain ongoing compliance training program, including day-one training for new hires and ongoing regular training across the organization

Conflicts of Interest: Serve as the primary administrator on the company’s compliance management platform, reviewing and assessing real and potential conflicts of interest and providing timely responses to employee requests

Culture and Collaboration: Partner with key stakeholders across the company, contributing to a culture of trust and collaboration

Senior Management: Prepare presentations and memoranda for the senior management team; assist with ongoing relationship management between USSA and our parent company’s compliance and governance team

Qualification

Compliance systemsDrafting policiesLaw degreeTime managementMS Office proficiencyAdobe AcrobatInterpersonal skillsCommunication skillsMentoring

Required

Bachelor's degree

10+ years of relevant work experience

Proven ability in drafting comprehensive company policies, guidelines, and procedures across diverse business lines and subject areas

Exceptional time management skills and the ability to prioritize multiple projects while meeting deadlines

Proactive and able to anticipate needs before they arise, offering guidance and solutions

Appropriate responsiveness, understanding the appropriate urgency to address critical time-sensitive issues

Excellent interpersonal, verbal, and written communication skills with the ability to communicate compliance and governance concepts to a broad range of technical and non-technical staff

Discretion in handling confidential information, ensuring the security of sensitive business and personal data

Sound ethical judgment and integrity to navigate challenging situations and make decisions in the best interest of the organization

Ability to exercise independent and informed judgment while understanding when to ask for guidance

Experience mentoring and coaching junior team members

Proficiency in MS Office suite, Adobe Acrobat