A major Japanese life insurance company located in New York City, New York, is seeking a Compliance Associate & Associate Corporate Secretary.
<Job Summary>
Collaborate with the Senior Compliance Officer in implementing and managing the organization’s
compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal,
regulatory and IT guidelines.
<Responsibilities>
1.Collaborate with the Senior Compliance Officer in the following:
・ Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws
and regulations; ensure policy alignment with the regulatory and compliance monitoring function.
・ Perform Regulatory and compliance oversight and testing to ensure the adequacy of the compliance
programs as they relate to insider trading and other securities-related matters, including e-mail monitoring
policies and procedures.
・ Implement procedures to address new regulatory rules and requirements; prepare and maintain various
regulatory filings.
・Coordinate and prepare responses to Regulatory and/or compliance examinations conducted by internal or
external parties.
・ Prepare and conduct ongoing Regulatory and compliance training for employees.
・Review and draft various documents and provide general commentary.
・ Liaise with relevant external counsel and/or senior management to assess potential risks and plan actions to
control or mitigate them.
・ Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
2. Collaborate with the Corporate Secretary in scheduling and preparation for Board,Compliance Committee and
Best Execution meetings (the “Meeting”), preparing the Meeting materials, agendas, and minutes, maintaining
corporate governance documents including by-laws and charters, prepare state filings.
3. Miscellaneous duties as assigned.
<Requirements>
・Bachelor’s degree in Business Administration, Communications, Political Science, Economics or equivalent work
experience.
・ 1-3 years of corporate work experience preferably in corporate planning or governance, operations, auditing,
compliance or related regulatory role; exposure to compliance processes helpful.
・Effectively and concisely identify issues and communicate findings to others.
・Outstanding interpersonal, presentation, and organizational skills, including prioritizing, multi-tasking, and
proactively following up to meet defined deadlines.
・Proficient in logical thinking and document analysis, with the ability to extract key insights from complex
documents.
・Fluency in English required.
・ A flexible team player able to adapt to change
【Keywords】
・Compliance Associate & Associate Corporate Secretary
・Corporate planning or governance
・Operations, auditing, compliance
| 雇用形態Employment Status | Full Time |
| 募集職種Position | Compliance Associate & Associate Corporate Secretary |
| 使用言語Language | English |
| 勤務時間Working Hours | Hybrid work with a minimum of 3 days in-office attendance per week. **Candidates must be flexible with any work schedules that may be necessary as dictated by business needs. |
| 給与Salary | $80,000 ～ $100,000（DOE） ** Eligibility for a discretionary bonus based on qualitative and/or quantitative performance factors. |
| 待遇・福利厚生Benefit | Health insurance (medical, vision, dental) Life insurance Short-term disability and salary continuation Paid parental leave 401K Annual paid vacation Float days Sick leave Educational assistance program |