Permits and Registration Associate

Position Overview:
Permits and Registration Associate will play a critical role in ensuring that the company adheres to all relevant laws, regulations, and internal policies. This position will involve staying up-to-date with changes in SEC regulations, developing and maintaining compliance policies, conducting risk assessments, and providing guidance to staff and leadership on compliance matters. The ideal candidate will be a strong communicator with excellent problem-solving skills and a passion for ensuring the company operates with the highest standards of legal and ethical integrity.

Key Responsibilities:

• Regulatory Oversight: Stay informed on SEC regulations, state securities laws, and local government requirements to ensure company practices are in full compliance.
• Risk Assessment & Audits: Regularly assess internal risks and audit company practices to identify potential compliance gaps and issues, recommending corrective actions as needed.
• Subject Matter Expertise: Serve as the go-to resource for compliance-related inquiries, offering clear guidance to staff and leadership to resolve compliance challenges.
• Internal Investigations: Manage internal investigations into compliance concerns, documenting findings, and recommending corrective or preventive measures to mitigate risks.
• Cross-Departmental Collaboration: Work closely with legal, finance, and other teams to conduct comprehensive reviews, ensuring full compliance with all applicable laws and regulations.
• Regulatory Reporting: Prepare and submit accurate, timely reports to the SEC and other regulatory bodies as required, ensuring transparency and adherence to reporting obligations.
• External Relations: Represent the company in interactions with regulatory agencies, addressing compliance inquiries and fostering positive relationships with external stakeholders.

Qualifications:

• Bachelor’s degree in Business, Finance, Law, or related field.
• Minimum 1 year of experience in compliance, risk management, or a related field, preferably in a financial services or regulated industry.
• Strong understanding of SEC regulations, state securities laws, and local government compliance requirements.