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
Want more information?

Complete the form below and Stephanie will follow up with you to discuss this position, or you can call her at 617-281-0203.

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