Compliance Associate

The Legal & Compliance department seeks a Compliance Analyst

Primary Job Responsibilities Include:

• The Compliance Analyst will work on a variety of compliance-related matters involving the investment businesses described above.
• Assisting in all compliance and regulatory matters: SEC and CFTC registrations, and federal, state and international securities laws (including the Investment Advisors Act of 1940, the Securities Act of 1933 and the Exchange Act of 1934)
• Assisting with the preparation of reports to the investment team and senior management regarding compliance matters
• Assisting with the filing of various SEC, CFTC and foreign regulatory filings
• Reviewing marketing and client materials, including pitch books, regular limited partner reporting, and due diligence materials, with a particular focus on foreign marketing issues including AIFMD
• Working with other members of the compliance team for these businesses to ensure that compliance documents, including Registered Investment Adviser Policies and Procedures, Form ADV Parts 1 and 2, Form PF and Compliance Audit Program are current, and to identify and address areas where policies and procedures need to be developed or amended
• Focusing on internal compliance policy review, including ongoing assessments, assisting with annual compliance review, internal audit reviews and ongoing or ad hoc reviews
• Working with in-house and external counsel to monitor, and then implement responses to, regulatory developments that impact the businesses
• Tracking new product launch compliance items
• Assisting in the development of training materials Qualifications
• At least 1+ years’ directly related experience in a legal or compliance role in a private fund environment or a law firm private funds practice with a knowledge of relevant rules and regulations and the day-to-day compliance affairs of private funds
• An undergraduate degree is required
• Demonstrated project management skills and accountability for delivery
• Demonstrated ability to write effectively
• Strong organizational skills
• Strong communication skills
• Ability to develop relationships, internally and externally

The candidate should demonstrate the following personal competencies

• Strong technical skills, intelligent, and ability to understand difficult, complex compliance and business problems
• The ability to work with colleagues to devise pragmatic and creative solutions
• Prioritization, perspective and focus on critical tasks that add value
• Excellent organizational skills and follow-through
• Highly effective oral and written communication
• Outstanding record of academic achievement and professional accomplishment
• Strong judgment and the ability to engender trust
• Highly motivated, diligent and conscientious work ethic