Compliance Associate

Posted 06/08/2022 By Stephanie Callis

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
Sorry, this position is filled.

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