About ATLAS SP
ATLAS SP Partners is a global investment firm that seeks to provide stable funding and capital markets services to companies seeking innovative and bespoke structured credit and asset-backed finance solutions. ATLAS SP’s tenured experts work with clients to determine the best approach to optimize their capital and achieve their goals, across a broad range of capabilities. Our integrated platform encompasses a holistic suite of capabilities, including asset/portfolio advisory solutions, warehouse/acquisition financing solutions, whole loan purchase/sale and securitization/distribution.
Our Culture
ATLAS SP is “one team” where everyone makes an impact – we grow together, win together, and embrace change together. From advancing the markets to supporting our communities, everything we do serves to make a difference. Our people are industry leaders with a passion for client service, complex problem solving, and innovation. We provide our talent with the pathways to grow professionally and personally in a collaborative and inclusive environment. We’re proud to build upon a legacy of excellence anchored in deep expertise and client service across the asset management landscape.
Position Overview
ATLAS SP is searching for a Compliance Associate to aid senior Compliance staff in the overall execution of the firm’s Compliance program. ATLAS SP Compliance is an independent control function, part of the firm’s second line of defense, which assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries.
Primary Responsibilities
- Help Compliance to identify key risks in assessing new business activities, remediation efforts and assessing functionality and limitations of firm systems
- Working with Compliance and Legal to support ongoing investigation or regulatory exam matters
- Creating and implementing standards for project management design principles for remediation plans and commitments, change management and escalation protocols
- Work closely with the business and other support functions, e.g., Legal, Risk, Finance, and Technology
- Be able to meet tight deadlines and comfortably operate in the face of time constraints
Requirements
- Bachelor's degree/University degree
- At least 2 to 3 years of relevant experience in Broker Dealer and/or Registered Investment Advisor Compliance, Risk or Controls
- Familiarity with financial products, preferably securitized products
- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm, including, senior stakeholders and regulators
- Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders
- Be detail-oriented, to consistently produce accurate work product
- Work independently and exercise strong judgment when executing an assigned task
- Multi-task, manage and advance multiple projects simultaneously
- Demonstrate very strong written and oral communication, as well as analytical abilities
- Identify and effectively escalate potential issues to appropriate person(s)
- Excellent time management, analytical and communication skills
- Strong proficiency in Microsoft Office
Base Salary Range
$110,000 - $135,000
The base salary range for this position is listed above. This position is also eligible for a discretionary annual bonus based on personal, team, and Firm performance. Compensation ranges are based on several factors including job function, level, and geographic location. Final offer amounts are determined by multiple factors including candidate experience and expertise and may vary from the amounts listed here.
ATLAS SP is an equal opportunity employer. The firm and its affiliates do not discriminate in employment because of race, color, religion, gender, national origin, veteran status, disability, age, citizenship, marital or domestic/civil partnership status, sexual orientation, gender identity or expression or because of any other criteria prohibited under controlling federal, state or local law.
What We Do
ATLAS SP Partners is a global investment firm providing tailored solutions, industry expertise and execution certainty on asset-backed financing and capital markets activities that fuel business innovation and growth. We offer a suite of flexible solutions across asset-backed warehouse financing, forward flow and asset purchase, and capital markets and distribution services. Companies of all maturities, from early-stage growth to large public companies, operating across real estate, corporate and consumer financing turn to ATLAS SP Partners for capital and advisory solutions. To learn more, please visit www.atlas-sp.com
