Senior Compliance Associate

Company Description

Company Overview

Third Bridge was founded on the belief that human insights drive intelligent investment decisions.

To make the right investment decisions, our clients require access to the most relevant experts and their insights – we enable this through private consultations and exclusive content drawn from expert interviews.

Our clients consist of some of the largest private equity funds, hedge funds, mutual funds and management consulting firms, who are serviced by a team of over 900 employees located across eight global offices.

Third Bridge operates in a global, multi-billion-dollar market with double digit annual growth and has consistently received accolades for Great Places to Work and the top 100 fastest growing companies. 

Job Description

At Third Bridge, our Compliance framework is an integral part of our business and we are looking for a Senior Compliance Associate dedicated to Third Bridge’s Content department to join our Compliance team in New York. 

Third Bridge content involves an array of interview formats with industry experts and transcripts of those interactions are made available to our clients through our portal.  This is a fast-paced role with a focus on problem solving, attention to detail, stakeholder engagement and results to ensure that our market-leading content is compliant with legislative and regulatory requirements, as well as with our internal policies.  As part of the second-line of defense, your judgment directly protects the integrity of our global platform.

Responsibilities

• Lead a team of compliance associates managing team workflows and serving as a primary escalation point
• Ensure team performance, including monitoring work quality, addressing compliance errors or issues, and providing guidance and feedback
• Lead team training and work to continuously improve the hiring and onboarding process for new team members based on business needs.
• Identify and escalate complex compliance issues, with a focus on identifying non-public information or otherwise inappropriate content.
• Serve as a compliance contact for stakeholders to resolve escalations
• Aid in developing internal guidance and external resources with high autonomy.
• Identify operational gaps and lead special projects as and when needed.
• Implement client compliance and engage clients’ compliance teams as and when needed.

Qualifications

• Experience: Previous compliance experience within financial services and client-facing experience is highly desirable.
• Education: Bachelor’s Degree or relevant professional experience within a compliance function.
• Expertise: Ability to understand and interpret complex financial concepts and appreciate underlying risks in expert interactions.
• Communication: Excellent oral and written English; ability to develop strong working relationships across all global offices. Client-facing communication skills are highly desirable.
• Execution: Proven ability to manage competing priorities between daily BAU work and high-impact special projects.

Additional Information

We truly care about our people so in return for your work, you’ll get:

• Salary: $95,000 – $115,000 USD per year, plus Annual Performance Bonus.
  Final compensation will be determined based on several factors, including the candidate’s relevant experience, specific skill sets, certifications, and internal equity.
• Vacation: 15 days (which increases to 20 days after 2 years of service) plus US Holidays
• Learning: personal development allowance of $1,150 per year.
• Health and wellbeing: a variety of insurance plans, including health coverage by Empire Blue Cross Blue Shield.
• Medical Insurance, Dental insurance and Vision plan, plus a personal HSA (Health Saving Account) and Medical FSA (Flexible Spending Account). And also a variety of health and wellbeing events to focus on mental health.
• Future and family: 401K matching up to 5% of your base salary, life insurance, a long-term disability policy dependent care FSA and pet insurance.
• Flexibility: work from anywhere for one month per year, 2 annual volunteer days, 2 personal days when life throws you a curveball and 'Summer Fridays'
• Rewards: get points through our colleague-to-colleague recognition programme to spend on hotels, gift cards, donations to charity and more.
• Social: weekly optional social gatherings, daily breakfast and snacks, social events - ESG: CSR, Environment and Diversity & Inclusion (including Women at Third Bridge, Pride and Blkbridge)
• Frontline Innovation: your chance to share your ideas for improvement through Hackathons and other events

The successful candidate must, by the start of the employment, have permission to work in the country they are applying. 

We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.