Associate, Compliance Associate & Associate Corporate Secretary

Associate, Compliance Associate & Associate Corporate Secretary

Join to apply for the Associate, Compliance Associate & Associate Corporate Secretary role at Nippon Life Global Investors Americas, Inc.

Functional

Title:

Compliance Associate & Associate Corporate Secretary
Corporate

Title:

Associate
Department:
Corporate Operations

Reports To:

Senior Compliance Officer
Overtime Eligible (Y/N): N (Exempt)

Position Summary:

Collaborate with the Senior Compliance Officer in implementing and managing the organization’s compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal, regulatory and IT guidelines.

• Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws and regulations; ensure policy alignment with the regulatory and compliance monitoring function.
• Perform regulatory and compliance oversight and testing to ensure the adequacy of the compliance programs as they relate to insider trading and other securities-related matters, including e‑mail monitoring policies and procedures.
• Implement procedures to address new regulatory rules and requirements; prepare and maintain various regulatory filings.
• Coordinate and prepare responses to regulatory and/or compliance examinations conducted by internal or external parties.
• Prepare and conduct ongoing regulatory and compliance training for employees.
• Review and draft various documents and provide general commentary.
• Liaise with relevant external counsel and/or senior management to assess potential risks and plan actions to control or mitigate them.
• Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
• Collaborate with the Corporate Secretary in scheduling and preparation for Board, Compliance Committee and Best Execution meetings, preparing the meeting materials, agendas, and minutes, maintaining corporate governance documents including by‑laws and charters, and preparing state filings.
• Miscellaneous duties as assigned.

• Bachelor's degree in Business Administration, Communications, Political Science, Economics or equivalent work experience.
• 1‑3 years of corporate work experience preferably in corporate planning or governance, operations, auditing, compliance or related regulatory role; exposure to compliance processes helpful.
• Effectively and concisely identify issues and communicate findings.
• Outstanding interpersonal, presentation, and organizational skills, including prioritizing, multi‑tasking, and proactively following up to meet defined deadlines.
• Proficient in logical thinking and document analysis, with the ability to extract key insights from complex documents.
• Fluency in English required.
• A flexible team player able to adapt to change.

The expected annual base salary for this position ranges from $80,000.00
–$. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered.

In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus based on qualitative and/or quantitative performance factors.

• Medical, Dental, and Vision Insurance – premiums for employees covered at 100% and for dependents at 70%.
• 401(k) match and Money Purchase Plan (fully company‑funded).
• Life Insurance and Disability Insurance.
• Pre‑tax Commuter Benefits.
• Up to 6 weeks of Paid Parental Leave.
• Tuition Reimbursement.
• Current Hybrid Work Arrangements.
• Paid Holidays in addition to vacation days, floating days and paid sick time.

NLGIA is an Equal Opportunity Employer that does not discriminate on the basis of actual or perceived race, color, religion, sex, gender (including gender identity and gender expression), national origin, citizenship, immigration status, age, disability, sexual orientation, military or veteran status, genetic information, sexual or other reproductive health decisions, or…