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Legal & Compliance Associate
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$100,000 - $130,000 a year
Full-time
- Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.
- Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.
- Administer & monitor quarterly attestations including outside business activities, gifts, and entertainment review, and political contributions.
- Play an active role in the maintenance, surveillance & enhancement of firm's compliance policies & procedures.
- Assist with overall organization & operation of the firm's compliance functions.
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