Compliance Associate, Americas

Denver, USA
$75k - $120k
Dec 28, 2022
Jan 26, 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
We are looking for an Associate to join our thriving Americas practice to deliver client work, participate in marketing and business development, assist with technical research and production of technical materials, as well as participating in the development and growth of Bovill.

The Americas Practice gives specialist advice on regulatory requirements supporting and assisting our clients by providing regulatory compliance services through oversight, execution, and continuous improvement of our clients' compliance program.

Our Associates are integral to the development and growth of Bovill, providing advice and support to clients on a wide range of regulatory compliance matters. Responsibilities include but are not limited to:
  • drafting and maintaining policies, procedures and compliance monitoring programmes
  • developing training materials and assisting in delivering training sessions
  • assisting with regulatory matters including registration applications and regulatory mock examinations
  • carrying out compliance testing and periodic monitoring
  • responding to ad-hoc and routine regulatory queries
  • actively partnering with global sector teams to support and deliver on shared projects and responsibilities, where required
  • arranging and helping to prepare for client meetings
  • ensuring that all client files are in good order and details of relevant contacts are updated
  • fostering professional relationships with clients and contacts, ensuring regular and open communication
  • actively seeking to increase Bovill's client base by performing market research and identifying new prospective clients
  • attending relevant industry events to build your network and promote the Bovill brand
  • participating in and where relevant, help to present at Bovill events and training sessions, such as client briefings on topical regulatory issues and roundtable events aimed at compliance professionals
  • assisting the team with marketing and business development activities
  • keeping abreast of regulatory developments and understand how client activities may be impacted
  • being proactive in updating both colleagues and clients on relevant regulatory changes and industry news
  • developing a thorough understanding of clients' businesses and requirements so you can provide relevant and accurate advice
  • conducting research and assist colleagues with preparing templates and other technical material on topics of interest
  • acting as the main point of contact for a portfolio of clients

Successful applicants will have:
  • a Juris Doctor, Bachelor's Degree or equivalent work experience (Investment or compliance related) and professional qualifications
  • compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator is a plus.
  • knowledge and experience related to financial services firms a plus
  • good understanding of rules and regulations of investment advisers, broker-dealers or other regulated entity
  • experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients
  • experience managing client relationships
  • a willingness to actively partner with our global colleagues to support and deliver on shared projects and responsibilities
  • a 'can do' attitude and an appetite to keep learning

Given the technical nature of the work we do, exceptional written and oral communication skills, and high attention-to-detail are paramount.

In return we offer:
  • the opportunity to work in an entrepreneurial, fast moving, stimulating environment
  • strong career development support - mentoring, coaching, relevant training and development - to enable your progression
  • the opportunity to work closely with, and learn from, our global team of regulatory experts
  • a small informal company environment with minimal bureaucracy
  • a competitive salary, as outlined below, performance-related discretionary bonus, and benefits package

Target Base Compensation: $75,000-$120,000. Your actual pay will be based on your skills and experience - you can discuss this further during the recruitment process.

The salary range above describes the minimum to maximum base salary range for this position. Employees also have the opportunity to participate in a bonus program, which is dependent on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Bovill actively supports a hybrid working practice. Applications are welcome from candidates who wish to work remotely.
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