Compliance Associate

Summary

Join ATLAS SP as a Compliance Associate to aid senior Compliance staff in the overall execution of the firm’s Compliance program.

Requirements

• Bachelor's degree/University degree
• At least 2 to 3 years of relevant experience in Broker Dealer and/or Registered Investment Advisor Compliance, Risk or Controls
• Familiarity with financial products, preferably securitized products
• Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm, including, senior stakeholders and regulators
• Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders
• Be detail-oriented, to consistently produce accurate work product
• Work independently and exercise strong judgment when executing an assigned task
• Multi-task, manage and advance multiple projects simultaneously
• Demonstrate very strong written and oral communication, as well as analytical abilities
• Identify and effectively escalate potential issues to appropriate person(s)
• Excellent time management, analytical and communication skills
• Strong proficiency in Microsoft Office

Responsibilities

• Help Compliance to identify key risks in assessing new business activities, remediation efforts and assessing functionality and limitations of firm systems
• Working with Compliance and Legal to support ongoing investigation or regulatory exam matters
• Creating and implementing standards for project management design principles for remediation plans and commitments, change management and escalation protocols
• Work closely with the business and other support functions, e.g., Legal, Risk, Finance, and Technology
• Be able to meet tight deadlines and comfortably operate in the face of time constraints