We are currently working with a leading investment firm that is seeking a junior attorney be an integral part of their compliance Legal team. This firm is a leader in the funds space and has proven track record of success which has seen their AUM skyrocket over the past few years. They are looking for a Legal & Compliance associate who will be responsible for a wide variety of compliance regulations, supporting for a 40-act compliance program, and providing regulatory expertise to C-level executives at the firm.
- Experience supporting for a '40 Act compliance program, including monitoring and reporting requirements, SEC filings, board communications and meetings, expanded allocation reviews.
- Review confidentiality, engagement and other vendor agreements
- Responsible for giving Investor Relations on going support related to the BDC, including review of earning calls/presentations, board packages, and the quarterly review of other marketing materials.
- Responsible for monitoring public and private investment-related communications, including the Firm's morning meeting.
- Responsible for compliance back testing and annual review of compliance program
- JD from a top tier Law school
- 3-5 years of experience at a top-tier law firm or in-house within a financial institution or compliance consulting firm.
- Experience working with private funds and other advisory clients subject to the Investment Advisers Act of 1940.
If you are interested in the Legal & Compliance associate role feel free to reach out with an updated copy of your resume.