[Hiring] Compliance Associate @Newton

Role Description

We are seeking a Compliance Associate to support the company’s compliance function and contribute to maintaining a strong culture of compliance across the organization. Your focus will be to assist and support the compliance team in ensuring that the organization operates within the legal and regulatory frameworks.

• Assist in monitoring the company's compliance with relevant regulations, and internal policies
• Support periodic compliance reviews and assessments to identify potential issues, gaps, and risks
• Maintain accurate and organized compliance records, including policies, procedures and reports
• Assist with drafting, reviewing, and updating compliance policies, procedures, and other documentation
• Support internal compliance audits, reviews, control testing, and risk assessments, including gathering information and documenting findings
• Assist with the investigation and documentation of compliance incidents, breaches, and identified deficiencies
• Maintain compliance tracking logs and assist with tracking corrective actions, risk mitigation measures, and preparing periodic reports

Qualifications

• Bachelor's degree in business, law, or a related field
• Has completed CIRE/CSC, Supervisory and/or trader exams through CIRO/CSI
• You possess knowledge of financial regulations and industry best practices
• You have strong analytical and problem-solving skills
• Excellent attention to detail and organizational abilities
• Impeccable communication skills and interpersonal skills
• Ability to work effectively both independently and as part of a team
• High degree of integrity, professionalism, and discretion, with an eagerness to develop knowledge of compliance and risk management

Benefits

• Inclusive work environment welcoming members of all backgrounds and perspectives
• Commitment to providing reasonable accommodations for applicants with disabilities