Compliance Associate

As a Compliance Associate at Third Bridge, your primary responsibilities will include evaluating and approving in-house research requests for compliance with internal policies, monitoring ongoing projects to mitigate risks, and answering compliance-related queries from both business units and clients. You'll also be responsible for delivering compliance training and reviewing clients' compliance procedures to enhance them.

To apply for the Compliance Associate position at Third Bridge, candidates must possess a Bachelor's Degree. While previous compliance experience within the financial services sector is highly desirable, it is not strictly essential. Candidates with strong organizational skills and attention to detail will find themselves well-suited for this role.

Third Bridge is committed to the professional growth of its employees. As a Compliance Associate, you will receive a personal development allowance of ¥9,000 annually, which can be used towards learning programs that you feel would benefit your career. We encourage continuous learning and improvement within our team.

At Third Bridge, we pride ourselves on maintaining a supportive and collaborative work environment. As a Compliance Associate, you will work alongside a diverse team, and your role will require strong interpersonal skills. The company regularly hosts social gatherings and events to foster a sense of community among employees.

Third Bridge offers a comprehensive benefits package for its Compliance Associates, including 15 days of vacation that increases to 20 days after 2 years, private medical insurance, flexibility to work remotely for one month a year, and a pension scheme. Employees also have access to mental health resources and recognition programs!

In a compliance role such as the Compliance Associate position at Third Bridge, it's essential to assess the urgency and importance of each task. I would start by using tools like a priority matrix to categorize tasks, then communicate with stakeholders to manage expectations. It's also vital to be proactive in seeking guidance on complex issues to ensure compliance is maintained.

Absolutely! In my previous experience, I conducted a compliance audit where I identified discrepancies in client onboarding processes that could lead to significant risks. I immediately implemented additional training for the team and updated the procedures to include a verification checklist, significantly reducing compliance risks in future onboarding.

I have designed and delivered compliance training programs for new hires in my previous role. I believe in using real-world examples relevant to the team’s daily tasks to enhance understanding and retention of compliance policies. This hands-on approach has improved compliance knowledge and adherence within teams.

To stay updated on compliance regulations, I subscribe to several industry newsletters and belong to professional organizations that keep me informed of best practices and changing laws. Additionally, I regularly attend webinars and trainings that ensure I’m always learning from compliance experts.

In one instance, I was tasked with reviewing a client's compliance procedures which were outdated and posed a significant risk. I collaborated with various departments to gather all necessary information and proposed a streamlined compliance framework that was adopted, reducing their risk exposure and enhancing their processes.

I believe that receiving feedback is an essential part of professional growth, especially in compliance roles. When I receive corrective feedback, I focus on understanding the points made and seek clarification if needed. I take it as an opportunity to improve my work and ensure I align better with organizational goals in the future.

I prefer using compliance management software that integrates seamlessly into project workflows, such as compliance dashboards that allow real-time tracking of compliance tasks and documentation. Tools like these enhance efficiency and ensure comprehensive oversight of compliance processes.

If I encountered a non-compliance issue at Third Bridge, I would follow our internal protocols to assess the situation, gather all relevant facts, and document everything meticulously. Then, I would work with the involved parties to devise a remedial action plan and continuously monitor the situation to prevent future occurrences.

Building relationships in a compliance role requires trust and communication. I focus on being approachable and ensuring stakeholders feel comfortable discussing compliance matters. Regular check-ins and transparency about compliance metrics help build a solid foundation for ongoing collaboration.

I want to work as a Compliance Associate at Third Bridge because I admire the company’s commitment to providing top-notch investment research that empowers clients. The opportunity to contribute to a robust compliance framework in such an innovative firm excites me, and I’m eager to work within a team that values diversity and inclusive practices.