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Compliance Associate (Experienced)

Capvision
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About Capvision:
Capvision is a global primary research platform connecting financial institutions, consulting firms, global enterprises, and high-net-worth individuals with subject matter experts across all industries and regions. Our goal is to provide clients with the necessary tools to gain the right insights for their research objectives. To achieve this, we conduct expert interviews, industry research, business consulting, marketing surveys, and in-person/remote conferences.

At Capvision, we remain committed to client protection. As such, our Compliance structure is an integral part of Capvision’s business. We are seeking to grow our global team and maintain compliance excellence with a New York City-based Compliance Associate who will report to the Chief Compliance Officer. The main purpose of this role is to support the compliance requirements of Capvision’s business in the U.S. and globally.

Summary:
Capvision is seeking a self-starting Compliance Associate to implement our compliance framework and support the Chief Compliance Officer. The Compliance Associate will also work with the Business Development team and Research team to drive initiatives related to implementing and executing upon world-class compliance standards.

The successful candidate will be proactive, people-oriented, business-minded, and able to integrate themselves seamlessly into existing and emerging Capvision Compliance processes and procedures. The candidate will leverage strong analytical thinking and regulatory reporting skills to ensure appropriate, risk-based application of compliance to ensure smooth business operations with Clients and Experts. The successful candidate will also be able to effectively build out our compliance processes and operations and communicate our compliance framework to clients.

Responsibilities:
  • Independently evaluating and approving a high volume of in-house research requests for compliance with internal policies and client-specific processes, and responding in a timely manner
  • Serve as an internal authority and fielding internal queries on compliance decisions
  • Escalating non-compliant or complex questions from the business or requests as and when required
  • Ensuring compliance with applicable laws, internal compliance procedures, and pre-agreed client-specific processes
  • Monitoring and processing personal data requests and active projects to flag and mitigate potential risks
  • Take ownership over reviewing, revising, and improving clients’ compliance procedures prior to implementation
  • Resolving compliance queries from lines of business and clients
  • Administering and tracking various compliance and regulatory training
  • Drafting contracts

Skills:
  • Rigorous attention to detail and ability to identify, remedy, and proactively prevent risks
  • Able to work independently and autonomously with little oversight
  • Appropriate sense of urgency
  • Exceptional analytical skills
  • Discretion in handling confidential information
  • Professionalism and ability to develop effective working relationships across departments with individuals at all levels
  • Excellent oral and written communication skills
  • Strong communication skills
  • Self-motivated

Qualifications:
  • Bachelor degree from top academic institution, with a GPA of 3.3 or higher; no advanced degree required
  • 1-3 years’ experience
  • Knowledge of financial services, industry regulations, and due diligence preferred
  • Experience drafting and reviewing contracts a plus

Benefits + Compensation
  • Salary for this role is $68,500-$75,000, commensurate with experience, plus performance-based bonuses.
  • Spot bonuses to recognize exceptional service
  • Paid vacation, sick days, and company holidays
  • Healthcare, vision, and dental plans
  • 401k program with guaranteed company contribution
  • Commuter benefits
  • Very fast paced and motivated culture
  •  Casual work environment
  • Free snacks and coffee/tea

Capvision is an equal-opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We don't believe in "perfect" candidates. If you want to work hard at a fast-growing company, then Capvision is a place where you can grow.