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About the Role
B Capital is seeking a detail-oriented and highly organized Compliance Associate to support the firm’s regulatory and compliance activities and ongoing compliance requirements. The ideal candidate will have 3–5 years of experience in trust administration, compliance, fund administration, or a related field, with exposure to SEC requirements and regulatory filings. This is a hands-on role that requires strong follow-through, clear communication, and the ability to work collaboratively with various teams. The successful candidate will be comfortable exploring, testing, and adopting new technology platforms.
Responsibilities
- Work closely with internal stakeholders and external legal and compliance advisors.
- Assist with regulatory filings, registrations, disclosures, and related SEC requirements and relevant regulatory authorities.
- Maintain compliance records, registers, policies, certifications, and supporting documentation, ensuring information is complete, accurate, and up to date through the firm’s platform.
- Track regulatory deadlines and filing requirements and coordinate with relevant stakeholders to ensure timely completion.
- Support ongoing compliance monitoring, testing, reporting, and recordkeeping requirements.
- Assist with the preparation and administration of compliance policies, procedures, manuals, and internal documentation.
- Coordinate information and documentation requests across Legal, Finance, Operations, Investment, and other internal teams.
- Support compliance-related onboarding, due diligence, KYC/AML, conflicts, and other administrative processes as required.
- Liaise with external counsel, compliance consultants, administrators, and other service providers to support regulatory and compliance matters.
- Help identify gaps or inconsistencies in documentation and processes and proactively follow through to resolution.
- Provide general administrative and project support to the Legal and Compliance function as the firm’s regulatory requirements evolve.
Requirements
- 3+ years of relevant experience in trust administration, compliance, fund administration, financial services, or a related regulatory environment.
- Experience working with SEC requirements, regulatory filings, or SEC-regulated investment managers is strongly preferred.
- Experience within a trust company, fund administrator, investment manager, professional services firm, or similar financial institution would be beneficial.
- Strong attention to detail and a high degree of accuracy when working with regulatory documents, filings, and records.
- Highly organized with the ability to manage multiple deadlines, documentation requirements, and follow-ups simultaneously.
- Strong written and verbal communication skills, with the confidence to coordinate across different teams and levels of seniority.
- Collaborative, proactive, and comfortable working in a fast-paced and entrepreneurial environment.
- Strong judgment and discretion when handling confidential and sensitive information.
- Comfortable with the administrative and operational aspects of compliance, including paperwork, documentation, filing, tracking, and recordkeeping.
- Able to work independently, take ownership of tasks, and follow through with limited supervision.
Skills
- SEC requirements
- Regulatory filings
- Trust administration
- Compliance
- Fund administration
- Research
- Interpersonal skills
- Organizational skills
- Documentation management
- Administrative processes
- Follow-through
- Clear communication
- Collaboration
- Technology adoption
- Written communication
- Verbal communication
- Judgment
- Discretion
- Recordkeeping
Experience Level
- 3-5 years of experience
Education Level
- Bachelor’s degree or equivalent professional qualification in Business, Finance, Law, Accounting, or a related discipline.
Salary/Compensations
- $90,000 to $110,000
About the Company
- B Capital invests globally in extraordinary founders and businesses shaping the future through technology.
- With more than $12 billion in assets under management and dedicated stage-based funds, the firm focuses on seed to early- and late-stage venture growth investments, primarily in the technology, healthcare and climate sectors.
- Founded in 2015, B Capital has an integrated, global team across nine locations in the U.S. and Asia.
- The firm’s value-add platform, together with the consulting expertise of its strategic partner, The Boston Consulting Group, provides entrepreneurs with the tools and resources to scale quickly and efficiently, expand into new markets and build market-leading businesses.
- B Capital adheres to core values of Generosity, Resilience, Open-mindedness, Will, Teamwork, and Humility.