Compliance Associate
B Capital is a global investment firm supporting early- to late-stage innovators in Technology, Healthcare, Energy, and Resilience.
About B Capital
B Capital is an investment firm led by Eduardo Saverin, Raj Ganguly, and Howard Morgan. It invests across the company-building lifecycle, from seed through late stage, with dedicated early-stage and growth-to-late-stage funds. Its focus areas include enterprise technology and AI, fintech, healthcare, biotechnology, digital health, energy, and resilience. Through its in-house platform team and strategic partnership with Boston Consulting Group, B Capital supports portfolio companies with strategy and operations, capital advisory, people and organizational services, business development, and global expansion.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will support regulatory and compliance activities, including filings, registrations, disclosures, records, monitoring, testing, reporting, and policy administration. You will coordinate documentation and deadlines with internal stakeholders and external advisors, support onboarding and due diligence processes, and help resolve documentation or process gaps.
Requirements
- 3+ years of relevant experience in trust administration, compliance, fund administration, financial services, or a related regulatory environment.
- Experience with SEC requirements, regulatory filings, or SEC-regulated investment managers is strongly preferred.
- Strong attention to detail and accuracy with regulatory documents, filings, and records.
- Ability to manage multiple deadlines, documentation requirements, and follow-ups.
- Strong written and verbal communication skills.
- Ability to handle confidential and sensitive information with judgment and discretion.
- Experience with compliance administration, documentation, filing, tracking, and recordkeeping.
- Bachelor’s degree or equivalent professional qualification in Business, Finance, Law, Accounting, or a related discipline.
Responsibilities
- Work closely with internal stakeholders and external legal and compliance advisors.
- Assist with regulatory filings, registrations, disclosures, and SEC requirements.
- Maintain compliance records, registers, policies, certifications, and supporting documentation.
- Track regulatory deadlines and coordinate timely completion with stakeholders.
- Support compliance monitoring, testing, reporting, and recordkeeping.
- Assist with compliance policies, procedures, manuals, and internal documentation.
- Coordinate information and documentation requests across internal teams.
- Support compliance onboarding, due diligence, KYC/AML, conflicts, and administrative processes.
- Liaise with external counsel, consultants, administrators, and service providers.
- Identify documentation and process gaps and follow through to resolution.
- Provide administrative and project support to Legal and Compliance.
