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Sr. Compliance Associate/Compliance Manager

New York, New York, United States

About Capvision 

We are 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 mission is to equip clients with the tools necessary to gain the right insights for their research objectives. We specialize in expert interviews and surveys, business consulting and in-person/remote conferences.

Summary:

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 Sr. Compliance Associate/Compliance Manager (based on experience) 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.

Capvision is seeking a self-starting Sr. Compliance Associate/Compliance Manager to implement our compliance framework and support the Chief Compliance Officer. The Sr. Compliance Associate/Compliance Manager 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
  • Drafting contracts and review redlines
  • 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

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's degree from a top accredited 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

Preferred Qualifications:

  • Experience in the expert network industry (client services or compliance) 
  • Experience with drafting and reviewing contracts 

Benefits + Compensation:

  • Competitive compensation.  Salary for this role is $75,000 - $120,000, commensurate with experience, plus performance-based bonuses.
  • Very fast paced and motivated culture
  • Great office, colleagues, and growth culture!
  • Paid vacation, sick days, and company holidays
  • Healthcare, vision, and dental plans
  • Tax-free commuter benefits program
  • Monday breakfast, weekly happy hours and events, free snacks and coffee/tea
  • Mobile phone reimbursement (Annual $600)
  • Monthly commuting stipend (Annual $1,200)
  • Company sponsored meal plan - FREE lunch ($1,200 value)
  • 401K plan – 3% contribution
  • Online Mental Health Therapy
  • Gynecology and Family-building Care 

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.

Website: www.capvision.com

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