The right candidate will have a minimum of three years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas:
- Individual ultra-high-net-worth and family office wealth management clients; and
- Private pooled investment vehicles, such as hedge and real estate-based private funds.
In addition, SEC-related experience is preferred, either within or handling matters involving the agency.
You must be ready to take on the daily challenges of managing legal and regulatory issues arising from our client's rapidly expanding national presence, managing nearly $20 billion of assets and growing stable of in-house, affiliated, and third-party managed investment vehicles. You will work closely and collaboratively with the Chief Legal and Compliance Officer.
Duties and Responsibilities
- Excellent communication and advocacy skills to apply in advising senior executives and the firm as a whole on key compliance-related issues.
- Analyze qualitative and quantitative business, legal, and compliance issues and apply independent judgment to efficiently and expeditiously provide a wide range of deliverables to the Chief Legal and Compliance officer, senior members of the compliance team, and the senior executives at large.
- Value inclusiveness in a dynamic team environment, engage in robust deliberations and engagement, be fearless in defending your point of view, and accept that the process of finding the right answer requires open and direct dialogue.
On a technical basis, you will:
- Prepare and file investment advisor filings.
- Implement and maintain the compliance program to meet industry and regulatory standards.
- Prepare and maintain employee disclosure forms and assist in the organization and maintenance of required books and records.
- Review marketing materials and other client communications materials.
- Review and conduct due diligence of vendors and other third parties.
- Review and monitor valuation information.
- Monitor employee compliance via MyComplianceOffice
- Conduct, in conjunction with the Legal and Compliance team, Annual Review process.
- Drafting and distributing firm policies.
- Conduct regulatory audits as needed.
- Assist with surprise custody audits as needed.
- Conduct branch office audits.
Requirements
- Bachelor’s degree or equivalent work experience required.
- A minimum of 3 years of investment advisory compliance experience required, SEC or related financial; regulatory experience preferred.
- Familiarity with Addepar and Salesforce is strongly preferred.
