Experience
2 yrs required
Location
New York City, NY, United States
Posted on
Sep 29, 2020
Profile
Regulatory Compliance Specialist
The candidate will be responsible for: Ensuring Firm ’s licensing processes run smoothly and efficiently across various lines of business. Will be entrepreneurial and comfortable working in an ambiguous, quickly-changing and fast-paced environment. Will report directly to the Senior Counsel, Regulatory Compliance. Responsibilities: Prepare and manage files and documents, including initial and renewal license applications, to ensure that Firm ’s compliance requirements are met with regard to multiple lines of business. Help determine which licenses Firm must obtain before launching a business line in a new market. Ensure that all of Firm ’s licenses and permits are valid, up to date, and timely renewed. Oversee the maintenance of compliance records and data. Liaise with other teams within the Company and external parties regarding licensing matters. Assist team members with issues, questions and research related to licensing and other compliance issues. Must have Bachelor’s degree and 2+ years relevant paralegal or compliance experience. Should have proficiency working in a Mac environment, and specifically with Google Apps (Gmail, Calendar, Docs, Sheets, etc.), Excel, Adobe Acrobat and Word.
Company info
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