Location: New York,NY, USA
Location: Midtown Manhattan
Compensation: $180K-$220K + bonus
Our client, a $45 billion private credit firm is seeking a compliance professional to join their legal and compliance team. This role consists of 50% marketing material review and 50% core compliance.
Responsibilities:
• Coordinate with other stakeholders on fund and managed account compliance and regulatory matters: SEC and CFTC registrations, ERISA, and federal, state and international securities laws (including the Investment Advisers Act of 1940, the Securities Act of 1933 and the Exchange Act of 1934)
• Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies to ensure compliance with the Investment Advisers Act marketing rules (“the new marketing rule”) and regulatory and compliance requirements associated with marketing and sales in non-U.S. jurisdictions
• Coordinate and prepare U.S. and foreign regulatory reports and filings (e.g., Form ADV, Form PF, Reg D, Treasury and BEA Filings, State blue-sky filings, Section 13/16 filings, AIFMD and Annex IV, FCA filings and transaction reporting) • Assist with compliance monitoring program, including testing of investment guidelines and employee compliance with Code of Ethics requirements
• Coordinate and maintain Legal and Compliance calendar • Assist with forensic testing for Annual Compliance Review • Prepare materials for Committee meetings (e.g., Valuation, Conflicts of Interest, Best Execution)
• Support selected firm-wide legal and compliance initiatives and work with the GC, CCO and others in the Legal / Compliance Department to provide broad support for the Compliance Program
Qualifications:
• At least 3+ years of prior experience in a compliance role required; prior experience with private fund marketing or distribution compliance is a plus.
• Understanding of Federal securities law and regulations strongly preferred.
• Ability to manage multiple projects simultaneously with attention to detail, and the ability to thrive in deadline-driven environment.
• Strong skills in using compliance software and programs that support monitoring, reporting, and risk assessment activities.
• Ability to interpret legal and business terms and grasp concepts quickly.