Position Overview:
We are seeking a highly skilled and detail-oriented Legal and Compliance Associate to join our client, a thriving asset management firm. This role involves supporting investment and client service teams on a broad range of regulatory, corporate, fund, and investment compliance matters across multiple strategies and business lines. The ideal candidate will possess a strong compliance background, exceptional organizational skills, and the ability to navigate a fast-paced environment.
Key Responsibilities:
Regulatory and Compliance Support:
- Assist in drafting, implementing, maintaining, and testing compliance policies and procedures in response to evolving business practices and regulatory changes.
- Conduct compliance risk assessments and participate in the annual compliance review process.
- Administer the firm's Code of Ethics, including trade approvals, transaction reviews, and annual attestations.
Regulatory Filings:
- Prepare and submit regulatory filings, including Form ADV, Form PF, Forms 13G, 13H, 13F, CFTC filings, state “Blue Sky” filings, and Treasury filings.
Legal and Risk Mitigation:
- Support legal and compliance risk mitigation strategies, including data privacy and management of material non-public information (MNPI).
- Review and approve external communications, marketing materials, and RFPs to ensure compliance with regulatory requirements.
KYC/AML and Audit Support:
- Manage general Know Your Customer (KYC) and Anti-Money Laundering (AML) requests.
- Assist with regulatory audits, inquiries, and subpoenas as needed.
Cross-Functional Collaboration:
- Work closely with internal teams across investment, operations, and legal functions to address compliance-related issues and provide guidance.
- Partner with global offices to ensure alignment on compliance programs and regulatory practices.
Qualifications:
- Experience and Knowledge:
- 5+ years of experience in legal and/or compliance roles within a hedge fund, private equity firm, or asset management company.
- In-depth knowledge of the Investment Advisers Act of 1940 and related regulations.
- Experience with compliance programs for alternative investment strategies is highly preferred.
Job ID: 39799
